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Emergency Management System Version 1.0

December 2012, Humanitarian Emergency Affairs, World Vision International

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Emergency Management System Version 1.0December 2012, Humanitarian Emergency Affairs, World Vision International

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On behalf of Humanitarian and Emergency Affairs (HEA), I am pleased to share with you the new Emergency Management System (EMS) Manual. EMS is an organising framework that allows us to better manage and coordinate emergency response, providing guidance for the organising of emergency teams through role clarity, a scalable model of standardised functions and a clear set of six overarching principles, applicable in any type and size of emergency.

Just as the Disaster Management Standards were a milestone in the evolution of World Vision’s disaster management work, similarly EMS is a further step in our evolution as an organisation in the way that we respond to and manage emergencies. The Manual is the first in a number of materials in development as we roll-out EMS to the Partnership. Your commitment in the use of this EMS material is requested and appreciated.

Dan KellyPartnership LeaderHumanitarian & Emergency Affairs

Introductory Letter from Dan Kelly

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System design team

Murray Millar Steve Goudswaard

Susan Barber Andrew Lanyon

Alexandra Levaditis Angel Theodora

Jimmy Nadapdap Win Zin Oo

Mike Pattison James Staples

Roll out team

Steve Goudswaard - EMS Manager

Andrew Lanyon - EMS Trainer

Marianel Coolen/Tanya Mewburn - EMS simulations & materials coordinators

Manual publication team

Karen Robinson Andrew Lanyon

Erin Joyce Faith Chastain

Shelly Leonardy Leanne Jenion

Special acknowledgement

We wish to particularly thank Karen Robinson and Erin Joyce for their contribution to the writing and review of this manual. Their dedication and commitment to this process is very much appreciated.

Functional Subject Matter Experts (SMEs)

Response Leadership : Susan Barber, Steve Goudswaard

Response Manager : Perry Mansfield, Jimmy Nadapdap, Mike Weickert, Killen Otieno, Andrew Lanyon

Operations Manager : Heather Macleod, Liz Satow & Andrew Lanyon

Operations Technical : Claire Beck (health), Patrick Sooma (protection), Makiba Yamano (CiE), Rajesh Pasupuleti & Andrew Jalanski (WASH), Budhi Yahya (commodities), Antony Peter (nutrition), Brett Moore (shelter) & Mike Pattison (NFI)

Programs : Maya Asaf & Faith Chastain (programming), Madara Hettiarachchi (accountability) Jamo Huddle & Kathy Duryee (DM&E)

Liaison : Nina Nepesova (advocacy) & Chris Webster (communications)

Security : Doug Ament, Neil Thompson & Laurence Baird (security), Jules Frost (civil military)

Support Services : Bev Irwin, Pauline Awitty & Gabriele Chrupala (P&C), Isaac Kwamy (ICT), Mike Pattison (logistics), Mark Neeson & John Njorge (finance), Gabriele Chrupala & Andrea Szekely (admin)

Quality Assurance (PFE) : Alexandra Levaditis & Julian Srodecki

EMS Acknowledgements

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EMS Team

Steve Goudswaard - EMS Manager [email protected]

Andrew Lanyon - EMS training & manual [email protected]

Marianel Coolen - EMS simulations & materials [email protected]

Tanya Mewburn - EMS simulations & materials [email protected]

EMS Function Subject Matter Experts

Response Leadership

Steve Goudswaard ([email protected]) Susan Barber ([email protected])

Response Management

Perry Mansfield ([email protected]) Steve Goudswaard ([email protected])

Jimmy Nadapdap ([email protected]) Mike Weickert ([email protected])

Killen Otieno ([email protected]) Andrew Lanyon ([email protected])

Operations Management

Liz Satow ([email protected]) Andrew Lanyon ([email protected])

Jimmy Nadapdap ([email protected]) Heather Macleod ([email protected])

Operations Technical Sectors

Claire Beck (health) Patrick Sooma (humanitarian protection)([email protected]) ([email protected])

Makiba Yamano (children in emergencies) Rajesh Pasupuleti & Andrew Jalanski (WASH)([email protected]) ([email protected]) ([email protected])

Budi Anurantha (commodities) Antony Peter (nutrition) ([email protected]) ([email protected])

Brett Moore (Shelter) Mike Pattison (Non Food Items)([email protected]) ([email protected])

EMS Contact list

6 EMS Contact list

Programmes

Maya Asaf & Faith Chastain (Programming) Madara Hettiarachchi (Accountability) ([email protected]) ([email protected]) ([email protected])

Jamo Huddle & Kathy Duryee (DM&E) Maya Asaf (Information management)([email protected]) ([email protected])

([email protected])

Liaison

Nina Nepesova (advocacy) Chris Webster (communications)([email protected]) ([email protected])

Security

Doug Ament & Neil Thompson (security) Jules Frost (civil-military coordination)([email protected]) ([email protected])([email protected])

Support Services

Bev Irwin, Pauline Awitty & Gabriele Chrupala (P&C) Isaac Kwamy (ICT)([email protected]) ([email protected])([email protected])([email protected])

Mike Pattison (logistics) Mark Neeson & John Njoroge (Finance) ([email protected]) ([email protected])

([email protected])

Gabriele Chrupala & Andrea Szekely (administration) ([email protected])([email protected])

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Introductory Letter from Dan Kelly P 3

Acknowledgements P 4

EMS Key Contacts List P 5

Chapter 1 – Introduction P 9

Context, Benefits & History

Chapter 2 - EMS Overview P 10

EMS principles

Functions & purpose

Structures & scaling

Terms of Reference (TOR) & Standard Operation Guidance (SOG)

How to Use EMS TORs & SOGs

Chapter 3 - Response Leadership in EMS P 18

Response Leadership Roles (Policy, Strategic, Operational, Tactical)

Regional Leader Role

National Director Role

Response Manager Role

Regional HEA Director Role

Partnership Leader HEA Role

Response Leadership & Management scaling

Leadership Accountabilities and Responsibilities in Emergency Response Matrix

Appendix A - Response Leadership function P 24

Regional Leader HEA TOR

National Director TOR

Response Manager TOR

Regional HEA Director TOR

Partnership Leader HEA TOR

EMS Manual Contents

P 10

P 11

P 14

P 17

P 17

P 25

P 26

P 31

P 37

P 38

P 18

P 18

P 19

P 19

P 19

P 20

P 20

P 21

Appendix B - Programmes function P 39

Programmes TOR & SOG

Programming sub function TOR & SOG

DM&E sub function TOR & SOG

Information Management sub function TOR & SOG

Humanitarian Accountability sub function TOR & SOG

Appendix C - Operations function P 51

Operations Management TOR & SOG

Operations Technical Sector TOR & SOG

Appendix D - Support Services function P 64

Support Services Management TOR

Administration sub function TOR & SOG

Logistics sub function TOR & SOG

Finance sub function TOR & SOG

ICT sub function TOR & SOG

People & Culture sub function TOR & SOG

Appendix E - Liaison function P 92

Liaison sub function TOR & SOG

Advocacy sub function TOR & SOG

Communications sub function TOR & SOG

Appendix F - Security function P 105

Security TOR & SOG

8 EMS Manual Contents

P 40

P 41

P 44

P 46

P 47

P 65

P 65

P 69

P 76

P 82

P 86

P 93

P 96

P 99

P 106

P 52

P 58

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The Emergency Management System (EMS) is a simple and adaptable organising framework to lead, manage and coordinate for timely, efficient, appropriate and effective emergency responses. EMS is based on the globally used Incident Command System (ICS) used by emergency management agencies in North America, Europe, Asia and Australia for over 30 years. EMS is the contextualised version of ICS for specific use of World Vision in emergency responses.

Review analysis of World Vision large scale response in both slow and rapid onset emergencies consistently revealed the need to provide clear roles and responsibilities within a flexible and scalable organisation structure. EMS provides guidance for the organising of emergency teams through role clarity; a scalable model of standardised functions and a clear set of six overarching principles, applicable in any type and size of emergency. The system ensures all available organisational resources are harnessed to meet the increased demands of disasters; while reducing inconsistencies, confusion and duplication. EMS is designed to utilize capacity across the organisation by drawing from the competent personnel of National, Regional, Support and Global Offices. EMS contributes to the organisational strategic objective to increase and optimise World Vision’s capacity for Partnership Emergency Response.

EMS is integrated inside World Vision’s emergency response system and aligned to the Disaster Management Standards, which provide the Partnership with direction on emergency classification, level of management required, how it is initiated, supported and how transitions should flow. EMS provides a guidance framework for structuring responses, functions, roles, responsibilities and performance requirements to achieve an effective response to the level of World Vision’s Disaster Management Standards. Successful application of EMS requires understanding and commitment to the principles of EMS, rather than compliance to guidelines. A World Vision office that commits to the use of EMS, works to contextualise the system and trains their staff in its use, resulting in significant achievement towards timely, efficient, appropriate and effective emergency responses.

The design process of EMS involved industry research and wide internal and external consultation. This was followed by a system scope, detailed design and a pilot phase in National Offices through simulation exercises and application in emergency responses. Feedback from the pilot phase was then used to create the current system design. The functional Terms of Reference and Standard Operating Guidance of EMS were created by World Vision subject matter experts based on best practices as well as organisational and humanitarian standards. EMS is designed to be a ‘living’ system and will continue to evolve based on application, user feedback and ongoing expert guidance to ensure it remains up to the increasing demands of World Vision’s emergency response.

The EMS manual is designed to be simple and brief. Chapter 1 provides a brief organisation context and history of the system. Chapter 2 provides an overview of the EMS principles, functions and how to apply these to organising a response team. Chapter 3 provides an overview of the response leadership roles and relationships. Following the Chapters 1- 3 are Appendixes A – F, which provide detailed Functional Terms of Reference, Standard Operating Guidance and references to key Tools and Standards.

Chapter 1 - Introduction

10 Chapter 2 - EMS Overview

EMS Principles

EMS is a simple and adaptable organising framework to lead, manage and coordinate emergency responses which are timely, efficient, appropriate and effective. The system is based on six foundational principles. For a response to be effective, response management needs to apply these principles to adapt, organise and use resources to meet the needs of disaster affected people. The EMS principles are:

1. Management by Objective – Every response is driven by a clear and well communicated response strategy and plan based on needs. This provides a common focus for all stakeholders that may adapt due to changes in context.

2. Unified Command – Every position has a clearly defined role, set of responsibilities and is accountable to a single line manager to simplify work and reduce duplication.

3. Flexible and temporary structure – The structure within EMS is temporary. It can be rapidly established, scaled up and down based on the changing needs of a response. Its flexibility includes ability to add and remove positions based on context.

4. Span of Control – The number of direct reports a manager has is limited to seven or fewer. This increases efficiency and ensures that staff are adequately supported in their roles in a complex context.

5. Common Terminology – Standardised and common terminology leads to clear comprehension and reduces misunderstandings and confusion

6. Competency Based Staffing – Positions at all levels are staffed on the basis of validated ability to meet the demands of the role.1

1 Competency is validated by Global Technical Resource Network (GTRN) using HEA Core and Technical competencies.

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EMS Functions and Purpose

EMS has six functions which cover all responsibilities in any given emergency response. The flexible and temporary structure allows for scaling (up or down) the number of people required to fulfill each functional responsibility. Therefore, the six functions do not equate to six people to cover six roles. The functions could be played by a smaller group of people or hundreds of people dependent on the scale and needs of the emergency response. The key is to ensure all the functions are covered in order for the response to be effective. The Terms of Reference and Standard Operational Guidance for all EMS Functions can be found in Appendixes A–F in the EMS Manual. Refer to Chapter 3 on Response Leadership for an explanation of Response Manager’s relationship with the National Director and Regional Leadership. An overview of purpose of the six EMS functions is detailed below:

Chapter 2 - EMS Overview

Security


“LEAD” Response Manager

Purpose: Leads, plans, organises, coordinates and oversees the use of resources to accomplish response goals.

The Response Manager (RM) is responsible for management and performance of the response team. The RM works closely with the National Director with shared and cooperative responsibilities as necessary. The RM directs the response objectives and is responsible for developing and maintaining an efficient, cohesive and integrated team to achieve these objectives. The RM ensures effective coordination and relationships with other agencies, officials, beneficiaries, donors and all areas of the WV Partnership. The RM is ultimately responsible for the delivery of an effective, efficient response which is then transitioned back to the NO. Refer to Chapter 3 on Response Leadership for explanation of Response Manager’s relationship with National Director and Regional Leadership.

“PLAN” Programmes

Purpose: Assesses need and analyses data for design. Programme information is analysed to improve design and funding is acquired to deliver it.

Programmes are responsible for Design, Monitoring and Evaluation (DME), Humanitarian Accountability, Information Management and Grant Acquisition & Management. Programmes assess humanitarian needs and design the response to address these needs. They develop proposals to secure funding for fulfillment of the design and report results to donors. They monitor implementation data and beneficiary feedback data, and then provide information analysis and evaluation for improving response strategy, design and program quality. Programmes support the RM in strategy development, they design and improve the response with Operations, secure and report on donor funds, allocate and monitor funds use with Finance, and provide information for Liaison to inform and influence stakeholders.

“IMPLEMENT” Operations

Purpose: Implements the design using people, funds, equipment and supplies to achieve response objectives. Feeds back to Programmes for design and quality.

Operations implement plans to ensure the achievement of response objectives. Operations transform strategy developed by the RM and Programme design into implemented reality. They manage the direction of day-to-day sector activities and provide technical guidance to Programmes for design and programme quality. Implementation is resourced by Support Services with people, money, supplies and equipment. Operations use Programming monitoring and analysis to improve the response plans and implementation methodology. They advise Liaison on issues in need of resolution with external stakeholders in order to improve response effectiveness. Operations works very closely with Security on risk monitoring and mitigation to ensure staff safety and civil military coordination of the programme implementation.

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“RESOURCE” Support Services

Purpose: Provides resources (human, financial, equipment, supplies), to ensure rapid and effective response delivery.

Support Services are responsible for rapid service provision of Finance, Personnel, Equipment and Supplies to the response team. Timely service provision enables the development and implementation of an efficient and effective response. People & Culture work closely with all functions to ensure they have staff required to fulfill function objectives. Finance manages funds to ensure rapid cash supply and its transparent use to internal and external standards. Logistics manage supply and transportation of emergency supplies to Operations. Information Communication Technology (ICT) provide the critical equipment and services to ensure communication between team members and stakeholders. Administration ensures that the team has effective administrative support and sufficient infrastructure i.e. office space and housing/accommodation to meet response personnel’s requirements. The primary performance measure of Support Services is rapid service delivery to the response functions. Management waivers must be provided when policy and process compliance prevent rapid service provision and delay response delivery.

“FACILITATE” Liaison

Purpose: Manage stakeholders to create a response environment conducive to achieving maximum impact.

Liaison’s responsibility is to accurately represent the needs of disaster affected people and the organisational efforts to respond to them. They target stakeholders in positions of power and influence in order to persuade them to support humanitarian efforts. Liaison uses data and analysis from Programmes to create targeted messages for different stakeholder groups. Liaison provides feedback and analysis on external context and stakeholders to Response Management, Programmes, Operations and Security to support context relevant decision making and planning. Liaison activity can be within the organisation, aimed at the media and public, or it can be targeted towards policy change in governments and other powerful actors so the emergency response can be implemented more effectively.

“PROTECT” Security

Purpose: Manages risks to ensure response plans are implemented in a safe and secure environment.

Security is responsible for ensuring that all response activity occurs in a safe environment and that staff safety is managed. They work closely with Operations and Liaison to assess and monitor the response environment. Security creates a risk management plan and procedures based on the response context. They support the other Functions to implement management plans to ensure that risks are mitigated and contingency is provided for. Security advises the RM with regular risk updates and mitigation recommendations to ensure the ongoing safe operation of the response.

Chapter 2 - EMS Overview


EMS Structure

To plan and implement an effective emergency response, the RM will establish a structure using all six EMS functions according to the EMS principles. These functions are like building blocks. The final structure is entirely dependent upon how the EMS principles are applied, the scale of the need, capacity of the organisation and the complexity of the emergency.

In the case of a small emergency (i.e: Category 1, National Office Level response) one individual, such as an ADP Manager or field operations manager, may be responsible for some or even all functions. If the level of need increases along with the size and complexity of the emergency, the designated RM may then choose to start delegating other roles. This may require deploying more capacity and higher emergency competent staff to manage the increased demands.

In the case of a much larger Category 3 Global Level response, the management structure will need to be expanded to the point where multi-person teams are staffing each of the six functions. This structure can then be scaled back as need decreases.

Some examples of how a response may be structured using EMS are provided below, however it must be emphasized that these are examples only. Each emergency is different and unique. The response must be structured based on need and the complexities of that environment.

Example 1: Category 1 National response, Small ADP based response

One individual eg. Project Manager

There has been some localised flooding in one ADP. The damage is contained to a small geographic area and the response will be managed at the ADP level. This example, illustrated with red dotted lines, demonstrates how a single individual is responsible for the Response Manager, Security and Liaison functions. This person may be the ADP manager, or they maybe delegated by the ADP manager from another role temporarily whilst the response is underway. A second individual is responsible for the Programming and Operations functions. Support services continue to be provided by the NO and no additional capacity is required at this stage. If the crisis does grow and additional capacity is needed, this structure can be adapted and additional capacity added in the functions which require support.

One individual eg. ADP Manager

15Chapter 2 - EMS Overview

Example 2: Category 2 Response, National level. Zonal/Provincial response

The entire eastern region of a country where WV is operational has been affected by a tropical storm. This second example illustrates how a RM overseeing a response confined to a region of a country may choose for the response to be structured. Due to the larger scale and increase in complexity compared to the ADP level response example above, the EMS functions are expanded to include sub-functions. Again, these functions and sub functions may only require one staff member each, as the red dotted lines illustrate. One individual may be responsible for multiple sub-functions i.e a Programme Officer may be responsible for managing the Programmes and DM&E sub-function and have a second staff member for Accountability and Information Management. Should the crisis grow and additional capacity is needed, this structure can be adapted by adding more staff and possibly staff with higher capacity for the increased demands of a larger response.


Example 3: Cat 3 Response, Global response

This third illustration demonstrates a possible EMS structure for a Category 3 global response level, such as a large earthquake which has affected multiple regions of a country causing widespread damage and displacement. In this example, the response is covering multiple geographic locations and therefore numerous field operations teams have been created under the Operations function. Most response staff would be field teams responsible for implementation and detailed operational planning. The functional management would be a smaller team and responsible for strategy, resourcing and high level liaison. There may be multiple staff working for each function and/or sub function and the total number of responders could be hundreds of people, coming from both within the national office and from across the Partnership.

It is critical for RM to remember that the structures outlined here are examples to demonstrate how the six EMS principles and six Functions can be applied to create a structure for any size and type of emergency.

17Chapter 2 - EMS Overview

EMS Functional Terms Of Reference & Standard Operating Guidance

Each EMS function and sub-function has a Terms of Reference (TOR). The TOR defines the objectives for a function and the quality level to which these objectives must be achieved. The TOR objectives must be accomplished to the quality defined for a function to be successful. TOR objectives are aligned to World Vision’s Disaster Management Standards (DMS), which are the minimum requirements for all emergency responses.

Each TOR objective has Standard Operating Guidance (SOGs). SOGs are a set of guidelines to assist functions in achieving TOR objectives. They provide recommended actions, with reference to key Tools and Standards to be used by a function/sub function. The SOGs are flexible and should be adapted so that the function can meet its objectives. According to the EMS principle of Management by Objective, if following a SOG results in not meeting TOR objectives, the functional manager has the discretion to adapt and modify their actions in order to meet the objectives.

DMS & EMS linkages

DMS must be fulfilled by the response to be successful. DMS are delineated by EMS functions to be achieved

EMS TORs & SOGs

EMS TOR objectives must be fulfilled by function to the quality criteria defined

SOGs are flexible guidance to support TOR objective achievement

Tools & Standards are a reference to support Function TOR objective achievement

18 Chapter 3 - Response Leadership in EMS

Emergency Responses operate at 4 levels of responsibility and accountability. These are:

Policy: organisational strategic priorities, policies and principles of World Vision International. The accountable leadership roles at this level are the Regional Leader and Partnership Leader for HEA.

Strategic: Intersection of WV global policy and priorities, with national strategy and emergency needs to create the parameters and direction for the Response. Includes National Director’s leadership of national strategy; response strategy leadership by the Response Manager, within parameters decided by the Regional Leader to WV Disaster Management Standards.

Operational: Management of objective level planning and resourcing by response functions in order to meet response strategy to quality standards/measures.

Tactical: Field level implementation of operational plan within context to meet response function objectives.

The leadership roles are outlined in more detail here and in Appendix A Response Leadership TORs. The following diagram outlines the relationships and accountability lines of Response Leadership:

Regional Leader – Policy (Global)

The Regional Leader (RL) is the accountable executive to the Chief Operations Officer (COO) and Partnership Leader for Global Field Operations (PL GFO) for response success. They may delegate specific objectives, but always retain accountability for the response outcome. The RL manages the link between global policy and national strategy to ensure the response is aligned with global strategy and standards. They ensure adequate resources and appropriate systems are functioning in the NO to meet international and organisational response standards. They support the NO

19Chapter 3 - Response Leadership in EMS

shift from “business as usual” to prioritise the emergency response and resolve competing programme interests with best use of available capacity. The RL identifies and resolves issues to maintain momentum and manages global risks that have emerged from the emergency. They support the ND to plan the transition of the response into the ongoing programming of the NO to make best use of opportunities and resources.

National Director – Strategic (National)

The National Director (ND) works strategically with the Response Manager (RM) to adapt the long term strategy of the national programme and manage the overall national risks arising from response. The ND supports the RM to align the response strategy with the NO strategy and revises as appropriate. They create enabling internal and external relationships by rallying staff support, removing obstacles and creating opportunities for an effective emergency response. They mobilise NO staff, equipment and funding to facilitate response implementation. An ND manages response transition into the ongoing NO program by reevaluating the national strategy and operations to integrate response funding, assets and capacity. During a National level response, the ND is the accountable executive, even though the RM may report directly to an appointed delegate (e.g. HEA Director). In a Global level response, the Regional Leader is the accountable executive, the RM reports to the RL and the ND provides the RM with support to align strategy, meet response objectives and transition.

Response Manager – Strategic (Response)

The Response Manager (RM) leads, plans, organises and coordinates to accomplish response objectives ensuring a timely, efficient, appropriate and effective response. The RM focuses on short term response objectives while the ND maintains long term strategic parameters within which the response operates. The RM is the link between strategic and operational management, defining what is “good enough”, making decisions rapidly; identifying priorities and resources necessary and leads the team to plan & implement the response. The RM ensures that competent people are appointed as function managers and are held accountable for achieving their objectives. Staff must understand their function purpose, TOR objectives and adapt the SOGs to achieve them. The RM must ensure that clear communication is maintained at all levels to ensure effective ongoing planning and response implementation. The RM and ND work together to maintain effective working relationships within the NO and response team. The RM works with the ND to access and coordinate with senior members of government and humanitarian organisations to ensure response effectiveness. In a National Level response, the RM is accountable to the ND (or delegate) and accountable to the Regional Leader (or delegate) in a Global level response.

Regional HEA Director – Policy (Support to National)

The Regional HEA Director (RHEAD) is responsible for supporting response coordination at a global level and support to the ND and RM at strategic level. They support the RL by chairing the Declaration Decision Group and the Partnership Coordination Team and coordinating the Partnership Excecutive Team (PET). They support the RM by rapidly sourcing Partnership resources (staff, funding, supplies) for response requirements. They act as a critical intermediary between the Partnership and the RM ensuring the flow of clear, timely and appropriate level of Programme information to internal stakeholders, aligning them to response priorities and aligning response to global strategy. In smaller responses (i.e. National level), the RHEAD may be delegated the TOR objectives of the RL, although the RL remains accountable for overall response results. In larger responses i.e. (Global Response), it is more likely that the RL will maintain some or all TOR objectives and use the RHEAD as support for achieving those deliverables.


Partnership Leader HEA – Policy (Support to Global)

The Partnership Leader for HEA (PL – HEA) is accountable for the overall effectiveness and capability of the global response system to WVI Executive Leadership. EMS sits within the overall HEA system, being supported by global capacity, policy and strategy, all of which is the responsibility of PL-HEA. The PL HEA is responsible for global response start up and executive support to all levels. The PL-HEA provides the RL with coordination support of SO CEOs and GC PLs to ensure alignment of the response to Partnership standards and strategy. The PL-HEA sources global HEA expertise for the RL and RM as required. The PL-HEA monitors the overall function of the HEA response system and uses their right of intervention as required to ensure that responses deliver to WV Disaster Management Standards and Policy.

Response Leadership Scaling

Emergency responses vary in scale and response model according to the declaration of the Declaration Decision Group (DDG). It is recommended that as a response increases in magnitude that the line management accountability moves higher up the organisational structure. This is to ensure that the increased demands, responsibilities and risks of a larger response are appropriately managed and resourced. It also reflects the global nature of the emergency response and World Vision as a global organisation. Recommended Response Leadership and Management relationships for scaling of emergency response are outlined in this diagram:

Response Reporting Relationship for small, medium and large response

If the magnitude of an emergency increases, the RM reports to a higher authority for response leadership, reflecting the increased overall responsibilities and risks of the emergency. The delegation of response leadership is dependent on capacity of the responding office and discretion of the leader (ND or RL). In National Response, the RM can report the NO HEA Director for response leadership. This reporting relationship may apply in a CAT 2 if the ND delegates leadership the HEA Director. In a Global response, the RM reports to the RL (unless the RL delegates response leadership). In all cases of delegation, the RL maintains ultimate accountability for emergency response results, regardless of the category and response model chosen (national or global response) by the DDG.

Response Response Response


This matrix is based on existing and new standards for leadership accountabilities and responsibilities in emergency response. The matrix is based on the following principles:

• Only 7 roles2 to be either responsible or accountable: COO, PL GFO; RL; PL-HEA; RHEAD; ND & RM. Responsibilities may be delegated but accountabilities remain with position holder

• The decision making is as close as possible to the point of action;

• Ensure cooperative responsibilities as far as possible to encourage collaboration

ACTIONS SCOPERESPONSIBLEPerson(s) working

on Activity

ACCOUNTABLEYes/No authority

CONSULT(Prior to action taken advisory)

Management Notes

THE TYPE OF EVENT and CONTEXT DEFINES if ACTION ARE SEQUENTIAL OR SIMULTANEOUS OR EX POST FACTO

Pre-Response Team (PRT)

Initiate an in country or desk review of the situation

RHEAD RL PL-HEAND

Triggered by early warning data or RL discretion. Referred to as “Pre-crisis Review team” TOR in the Disaster Mgmt standards

EPRF EPRF may be activated

RHEAD EPRF Working Group

PL-HEA RHEADs make EPRF requests on behalf of NOs, for preparedness activities

Declaration Decision Group(Chair: RHEAD)

Confirm the magnitude of the event based on the criteria to declare a category of emergency

DDG (decision by vote, GC HEA has casting vote)

HEA Partnership Leader

DDG members represent their constituency

When an emergency occurs or is imminent, the DDG is responsible for ensuring that it is given a category designation based on World Vision’s criteria for the declaration of category of magnitude of an emergency.

Declaration of Responses

Decides response model (Global response, National Office response, Partnering response, no response/monitor context) based on selection criteria

DDG (decision by vote, GC HEA has casting vote)

RL DDG members consulting/ represent their constituency

The DDG will keep minutes and make a written recommendation on the magnitude of emergency and selection of the response model to the ND, Regional Leader or Partnership Leader for Global Operations, respectively.

Declaration of Responses

Global RLPL-HEA

PL- GFO COO This section shows minimum levels of responsibility. The responsible part declares the emergency but may refer upwards due to factors like the size, complexity, media and marketing considerations, international profile and unusually complex partnership dynamics.

National Office ND RL PL-HEA

No response RHEAD RL PL-HEA

Partnering in WV country

ND RL PL-HEA

New Country Response

RLPL-HEA

PL- GFO COO

In multi-country or cluster contexts, the declaration process for a cluster of countries is similar to single country scenarios. An aggregated magnitude category/response model status will be declared for the cluster of countries, utilizing a DDG of the same composition but with the addition of NDs from each country in the cluster. A determination of the magnitude category/response model status will also be made at the same time for each individual country in the cluster, but this individual status will not be declared separately from the category/response model status of the cluster as a whole.

2 COO - Chief Operations Officer; PL GFO - Partnership Leader Global Field Operations; PL HEA – Partnership Leader

Humanitarian Emergency Affairs. RHEAD – Regional Humanitarian Emergency Affairs Director



on Activity



Management Notes

FOR GLOBAL RESPONSES: KEY DECISIONS AROUND PEOPLE; MONEY and RESOURCES; STRATEGY AND SUPPORT

THE TYPE OF EVENT and CONTEXT DEFINES if ACTION ARE SEQUENTIAL OR SIMULTANEOUS OR EX POST FACTO

Staffing mechanisms

GRRT mobilized & deployed

PL-HEA PL-HEA RLND

GRRT includes the whole of HEA operations including emergency logistics & supplies

Response Manager (RM) Appointed

PL-HEA RL RHEADND

NRRT/ NO staff deployed

ND RL RM Inform RHEAD

Surge Functions mobilized

RM PL-HEA PL’s for functions & sectors.

RM identifies surge requirements & PL-HEA is accountable for supply through the surge RACI. RHEAD is kept informed

ResourcingMechanisms

Initiate programming up to USD $5 million for response activities

RM PL-HEA RL Upon declaration of Global Response, there is typically a delay in funding commitments. RM is authorized to initiate programming up to USD $5 mil for response. On approval of WVI COO, an additional USD $5 mil may be allocated. Approval by the Board’s Executive Committee is required for programming exceeding USD $10 mil, prior to funding commitments being made.” Refer: Board Finance Policy on relief funding (May 2012)

Up to 20% ADP funding

ND RL RM Refers to redirection of ADP funds for response in ADP areas. SO approval not required.

Up to $100K allocated from EPRF

RHEAD PL-HEA RLND

Refer: EPRF manual section 5. RHEAD can approve up to $100k with reimbursement plan

Emergency logistics & supplies mobilized

PL-HEA PL-HEA RMND

Fundraising information communicated

RMND

RL

Identify Senior Executive Spokesperson

RLPL-HEA

PL-GFO COO Spokesperson with Media

Strategy NO business continuity decisions on stop/ redirect/ postpone

ND RL Relevant Partnership entities/SOs

Inform partnership entities

Partnership policy level coordination

PL-HEA COO RL Orchestration of Partnership at the policy level. Not part of the PET role & does not cover operational or line mgmt issues.


Approve Response Strategy, high level programme budget & policy positions

RMND

Partnership Executive teamChair (RL)

Constituents of the PET

(Chair: RL) Provide high-level guidance on strategic issues relevant to emergency response; provide a forum for strategic discussions & decision making; provide a forum for common agreement on sensitive issues; support RM & Response Team by promoting an enabling organisational environment.

Support Activate Partnership Coordination Team (PCT)

RHEAD PL-HEA Membersrepresent their constituency

Forum for dialogue & coordination with Partnership entities on operational & technical issues

Coordination of Partnership at Operational Level through PCT

RHEAD RL RMND

Orchestration of the Partnership at operational level. Not line mgmt role.

UNDECLARING OR RE-CATEGORISATION OF A CATEGORY LEVEL OR RESPONSE MODEL

Ending or Extending the Response

Changing of emergency magnitude (Cat I, II, III) or the response model

RHEAD RL ND If the situation on the ground requires, the DDG can reconvene to recommend Extension or revision of the emergency declaration in accordance with Disaster Management Standards.

Changing the Automatic un-declaring National Office response after 6 months

RHEAD ND RL

Changing the Automatic un-declaring partnering response after six months

RHEAD RL Partner


on Activity



Management Notes

Chapter 3 - Response Leadership in EMS

24

Appendix ARESPONSE LEADERSHIP FUNCTION

“LEAD”Version 1.0, December 2012,

Humanitarian Emergency Affairs, World Vision International

25

Function Purpose

Accountable executive for response success and alignment with global strategy and standards.

Specific Role

Is accountable to Partnership for response success and its contribution to achievement of regional and global strategy. RL ensures the ND and RM work in partnership to deliver a response which aligns and contributes to national and global strategy and meets the needs of those most affected. The RL will en-sure that the response is sufficiently resourced. The RL manages overall risk from and to the response

Terms of Reference (TOR)

Regional Leader

1. Oversight on selection of response model based on recommendation from DDG

2. Ensures response strategy targets beneficiaries most affected by the emergency; reflects global and national strategies and resolves prioritisation between the response and ongoing national programs.

3. Accountable to Partnership for response strategy effectiveness, national strategy revision (including NO business continuity decisions on stop/redirect/postpone ) and transition of response into national program

4. Ensure response meets core WV and international Disaster Management policies and standards

5. Monitors and manages regional organisational risks that have resulted from the emergency response

6. Coordinate international level WV stakeholders to ensure emergency program objectives can be achieved and monitor strategic level risks

7. Ensure the allocation of adequate global and national financial and human resources to response program

8. Ensure the transition of response deliverables and capacity into ongoing national program

9. Chairs Partnership Executive Team

Key Guidance Tools and Standards:

• WV Disaster Management Policy

• WV Disaster Management Standards

• Declaration Decision Group TOR

• Partnership Executive Team TOR

• Partnership Coordination Team TOR

LEA

DEMS Function: Regional Leader (RL)

26 EMS Function: National Director (ND)

Function Purpose

Leads national strategy and ensures an enabling national environment for response success

Specific Role

Leads National strategy adjustments, aligns response strategy to national priorities and reintegrates response into national program. The ND manages prioritisation and the allocation of national resources to response program. Manages organisational risks and liaison with national external and internal stakeholders to ensure response objectives can be achieved. Retains overall responsibility for WV presence (and brand) long term in country


National Director

1. Supports the pre-crisis review process and leads the national program strategy through revision and reintegration to maximise the alignment and opportunities of emergency response

2. Accountable to Regional Leader on response strategy results, national strategy revision, reintegration and transition of response

3. Ensure WV ministry goals can be achieved by managing priorities between specific response and ongoing national program

4. Retains responsibility for WV long term presence: monitors and manages the organisational risks to National program that have resulted from the emergency response program

5. Manage national level external and internal stakeholders to ensure emergency response program objectives can be achieved

6. Manage the allocation of NO resources to response program to facilitate implementation (staffing, vehicles, equipment, facilities, funds)

7. Manage the transition of response deliverables and capacity into ongoing national program

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatory. SOGs are optional and should adapted to ensure that the TOR objective is achieved to quality criteria

– Mandatory quality criteria to be achieved to successfully complete the TOR objective (e) – External sourced Tool or Standard to World Vision(i) – Internal sourced Tool or Standard for World Vision

All Tools & Standards referenced in the TOR/SOGs can be found in the “Operational Guidance” framework, which is available on WV Central.

LEA

D

27EMS Function: National Director (ND)

1. Lead the national program strategy through revision and reintegration to maximise opportunities of emergency response

A response strategy is developed which meets World Vision strategic goals and humanitarian standards and is contextually appropriate

• Support pre-crisis review process as a result “early warning” trigger or at RL direction

• Revise national strategy to changing context following emergency

• Reallocation of NO resources to response

• Support RM to align response strategy to revised national strategy and approve revised strategies

• Evaluate strategic organisational development opportunities (increased staff capacity, sector & geographic expansion, new funding streams, partnering relationships) for contribution to NO strategy

• Plan and manage reintegration of resources and opportunities from response program into National strategy

• Report to RL on revisions to national strategy from changing context and reallocation of resources

• Report to RL on effect of emergency on ongoing national program and the decision made to stop, postpone, and continue parts of the program

• Report to the RL on response results & support RM to meet planned objectives

• Report to the RL on integration of response resources, opportunities & capacity into National program

Mandatory

(i) WV Disaster Management Standards

(i) Leadership Responsibilities & Accountabilities in Emergency Response

Recommended

(i) Strategic Intent Guidance

Mandatory



Recommended

(i) Monthly Report Template

SOGs Standards & Tools


2. Accountable to Regional Leader on response strategy results, national strategy revision and reintegration of response


28

3. Ensure WV ministries goals can be achieved by managing priorities between response and ongoing development program

A response strategy is developed which meets World Vision strategic goals & humanitarian standards & is contextually appropriate

• Revision of emergency affected national programs for changes in deliverables, timelines and budgets

• Negotiate with donors and partnership on changes to national program as a result of emergency response

• Coordinate with Liaison to monitor and respond to reputational risks to the WV national program

• Coordinate with Liaison to ensure that risks to external stakeholder relationships are managed

• Coordinate with Support Services to ensure legal risks in human resourcing, taxation and import legislation are considered in response

• Coordinate with Programs & Operations to ensure that quality risks in response do not affect NO

• Report impact of risk on national program and organisation to board (where WV has a board)

Recommended

(i) LEAP Program Review

Recommended

(i) Risk Log template

(i) Monthly Report Template



4. Monitor & Manage the organisational risks to National programs that have resulted from the emergency response program

Develop & maintain good working relationships with senior humanitarian, government & World Vision stakeholders

EMS Function: National Director (ND)

29

Recommended

5. Manage national level external and internal stakeholders to ensure emergency program objectives can be achieved

Develop & maintain good working relationships with senior humanitarian government & World Vision stakeholders

• Maintain relationships with national government and armed actors to negotiate any agreements required for response strategy delivery

• Liaise with country level UN & Interagency representatives to facilitate coordination for Response

• Liaise with WV National board to ensure that response strategy is understood, accepted and can be implemented in a timely, effective manner

• Represent the interests of the NO & Response to Regional Office, Support Office & Global Centre through Partnership Executive and Coordination Team mechanisms

• Rapidly adapt policy/procedures (provide waivers/exceptions) where necessary to ensure response objectives are met. Abide by WV conflict resolution policy to resolve tensions as they arise.

• Support Liaison function to host WV Executive visits

• Support RM in development and communication of response fundraising requirements

• Report to Partnership on effect of emergency on ongoing national program and the decisions made to stop, postpone, and continue parts of the program

Mandatory

(i) Partnership Executive Team TOR

(i) Partnership Coordination Team TOR

Recommended

(i) WV Conflict Resolution Policy


6. Manage the allocation of NO resources to response program to facilitate implementation (staffing, vehicles, facilities, funds)

EMS functions & departments allocated & coordinated

• Approve deployment of NRRT and secondment of NO staff into response team

• Approve allocation of any NO vehicles and equipment for use by response

• Approve allocation of sufficient office space & warehousing for use by response

• Approve allocation of NEPRF & projected under-spent funds from affected NO programs for response (up to 20% of ADP funds )

Mandatory

(i) Partnership Board Policy on Relief Funding

(i) Disaster Management Funding Policy

Recommended

(i) NEPRF policy

(i) NRRT policy



30

7. Manage the transition of response deliverables and capacity into ongoing national program

A response strategy is developed which meets World Vision strategic goals & humanitarian standards & is contextually appropriate

• Consult with RHEAD to undeclare or extend response declaration after 6 months with Declaration Decision Group (DDG)

• Plan transition of all facets of Response program well in advance (~6 months) with Region.

• Manage staff transition with NO P&C and Response Team Support Services

• Manage Response transition with NO & Response operations & programming

• Manage asset transition from Response program to National program

• Manage the integration and alignment of strategic opportunities and capacity from Response program into NO program, processes and capacity

Mandatory





31

Function Purpose

Ensures a timely, efficient, appropriate and effective response to meet humanitarian needs.

Specific Role

The Response Manager (RM) has primary responsibility for managing the response from strategy to implementation, inclusive of performance and oversight of all aspects of the response. They should develop and maintain an efficient, cohesive team, whilst ensuring effective coordination and relationships with the other agencies, officials, beneficiaries, donors and all areas of the Partnership


Response Management

1. Develop and monitor implementation of Response strategy that addresses WV strategic goals and humanitarian standards to meet humanitarian needs

2. Ensure Response is staffed to meet response needs

3. Establish and maintain effective working relationships with humanitarian actors, government representatives and World Vision stakeholders

4. Develop and plan the Response to achieve Response strategy goal and objectives

5. Implement response programme in accordance with response commitments and to meet international and WV standards

6. Initiate resourcing mechanisms and ensure financial resources are managed according to WV standards, donor and SO agreements

7. Oversee Security function, planning and implementation to ensure response staff (and organisational) safety and security

8. Ensure response internal and external reporting requirements are met

9. Ensure Response meets minimum quality standard and supports programme improvement, reflection, learning and innovation

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatory. SOGs are optional and should adapted to ensure that the TOR objective is achieved to quality criteria



EMS Function: Response Manager

LEA

D

32

1. Develop and monitor implementation of Response strategy that adresses WV strategic goals to meet humanitarian needs


• Lead response strategy development with ND, RL, PET and other senior stakeholders

• Ensure primary and secondary information on needs inform strategy formulation

• Ensure context analysis informs strategy development

• Consult with ND to ensure NO strategy and plans (including Child Wellbeing targets) are taken into account in response strategy formulation

• Ensure strategy aligns with anticipated capacity

• Monitor appropriateness of strategy and implementation of strategy and transition plans

• Determine response org structure with ND and P&C

• Conduct high-level workforce planning with P&C and mobilise surge functions as required

• Ensure defined accountabilities under the EMS are clear for each function including TOR objectives and quality criteria

• Ensure P&C works with EMS functions to identify workforce requirements

• Ensure P&C plans for capacity building with EMS functions

• Ensure P&C develops performance planning and review processes that include quality criteria

• Ensure P&C establishes a staff care function and mechanisms that support staff well-being

• Consult ND to plan Response team transition / integration

• Ensure adequate internal communications mechanisms are in place to ensure policies, information and decisions are shared with staff as appropriate.

Mandatory

(e) Red Cross Code of Conduct


(i) Leadership Responsibilities and Accountabilities in Emergency Response

Recommended

(i) Strategic Intent Guidance

(Strategic Filter & Template)

(i) National Office Disaster Management score card

Recommended

(e) People in Aid Code of Good Practice



2. Ensure Response is staffed to meet response needs

EMS functions and departments allocated and coordinated

Management will foster an atmosphere of continuous learning and improvement


33

3. Establish and maintain effective working relationships with humanitarian actors, government representatives and World Vision stakeholders

Develop and maintain good working relationships with senior humanitarian, government and World Vision stakeholders

• Represent the response in Partnership Executive Committee and Partnership Coordination Committee (where activated)

• Identify and highlight areas of conflict to Response SMT, ND, RL and Partnership Executive Committee (where activated)

• Create and maintain collaborative relations and where appropriate partnerships with government, other NGOs, UN agencies, civil society, churches, bi-lateral missions and donors

• Participate in consortium meetings and Response related national coordination meetings

• Support Liaison to ensure WV is represented at relevant technical and coordination mechanisms in-country


4. Develop and plan Response to achieve Response strategy goal and objectives

Complementary strategy and advocacy positions are generated with wide internal buy-in and adequate external support

• Provide oversight to funding allocation (i.e. PNS, grants, etc) to ensure alignment with strategy and humanitarian needs

• Ensure Response programme development meets WV and international standards

• Ensure that adequate funding to address humanitarian needs is acquired

• Ensure Advocacy staff are empowered to integrate advocacy across sectors and to develop child-focused advocacy positions which are aligned with strategy and organisational priorities

• Facilitate the signing of MOUs and contracts, with donors, SOs and other relevant stakeholders

• Ensure appropriate waivers are in place to facilitate timely response implementation

Mandatory

(i) Partnership Design Monitoring Evaluation Management Policy

(e) Sphere Minimum Standards in Disaster Response

Recommended

(e) Humanitarian Accountability Partnership (HAP) 2010 Standard

(i) WV LEAP in Emergencies


Mandatory



(e) Global Humanitarian Platform (GHP) Principles of Partnership

(i) Humanitarian Accountability Partnership (HAP) Standard Benchmarks 2/7


34

5. Implement Response programme in accordance with response commitments to meet international and WV standards

All programmes practice accountability to communities

Quality is assured, monitored and provided adequate resources

• Ensure that accessible beneficiary feedback mechanisms are established and functioning

• Ensure staff establish community accountability methods across all of the response program

• Monitor and identify risks to programme quality and coordinate resources to address them

• Ensure that all programmes are implemented, monitored and evaluated according to set plans and that agreements with donors, SOs and other stakeholders are adhered to

• Ensure management meetings address quality risks & relevant monitoring data & community feedback

Mandatory



(e) Sphere Standards

(i) Programme Accountability Framework


6. Initiate resourcing mechanisms and ensure financial resources are managed according to WV standards, donor and SO agreements

• Initiate response funding mechanisms with support of ND, RL & RHEAD

• Ensure that funding is managed and accounted for in compliance with donors and Support Offices agreements and WV standards

• Ensure that programme and projects audits are planned and conducted as per WV audit regulations and donor government requirements

• Ensure that audit reports are responded to and recommendations implemented

Mandatory


e) Donor Regulations and agreements

Recommended

(i) WV Field Financial Manual



35

7. Oversee Security function, planning and implementation to ensure response staff and organisational safety and security

• Ensure staffing of Security function

• Provide oversight to implementation of security protocols as per CSR

• Facilitate inter-agency coordination for information sharing and intelligence sharing

Mandatory

(i) Office of Corporate Security Management Manual

(i) WV Incident Reporting Protocols and template

Recommended

(e) People In Aid – Principle 7


8. Ensure response internal and external reporting requirements are met

• Liaise with Programmes and Info Management to ensure internal and external reporting requirements are planned for and reports are prepared

• Review and submit partnership programme reports

• Prepare and submit monthly management reports

• Ensure internal response coordination & information sharing mechanisms are functioning

Recommended

(i) Report schedule

(i) Report templates



36

9. Ensure that response meets WV minimum quality standards and supports program improvement, reflection, learning and innovation


All programmes practice accountability to communities


• Ensure previous response learnings from Global learning facilitator are reviewed in program design

• Encourage the incorporation of best practice and innovation in program design

• Ensure all functions have quality planning sessions to meet quality objectives of their TOR

• Ensure achievement level of all function quality objectives is monitored monthly and reported

• Ensure risks that prevent the achievement of quality objectives are reported and rapidly addressed

• Ensure mechanisms are established to identify, document, & share lessons learned with Partnership

Mandatory

(i) Response Lesson Learned

Recommended

(i) Quality plan template


(i) Quality risk log template



37

Function Purpose

Coordinates WV partnership at policy and strategic level to maximise response success.

Specific Role

The RHEAD coordinates resources and stakeholders to achieve response strategy on behalf of the RL. They work closely to support the ND and RM to plan and deliver the response to national and global strategy, meeting the needs of those most affected.


Regional HEA Director

1. Initiates Pre-crisis review team (either in-country or desk review of developing emergency) when triggered by early warning data or at RL’s discretion

2. Supports ND & RM in the development of a response strategy

3. Coordinates global staff, funding (eg. EPRF request) and supplies to meet response objectives

4. Coordinates WV stakeholders at policy level to ensure Response meets strategic objectives; WV Disaster Management Standards; aligns with global and national policies and strategies; resolves strategic level issues

5. Support the response in achieving global HEA standards through provision of advice and technical resources for strategic and operation planning

6. Coordinates international level WV stakeholders to ensure all resources are managed to achieve emergency program objectives

7. Coordinates information flow between the Response and international internal stakeholders

8. Support ND & RM in the transition of response deliverables and capacity into ongoing national program

9. Support the RL by coordinating the Partnership Executive Team and chairing the Declaration Decision Group(DDG) and the Partnership Coordination Team


• WV Disaster Management Policy



• Partnership Executive TeamTOR

• Partnership Coordination TeamTOR

• Leadership Responsibilities and Accountabilities in Emergency Response

EMS Function: Regional HEA Director (RHEAD)

LEA

D

38

Function Purpose

Leads Global HEA strategy and supports Regional Leader to achieve response success

Specific Role

The PL-HEA is accountable for effectiveness of response, quality assurance and ensuring the response aligns with and contributes to global strategy. The PL-HEA retains responsibility for the overall effectiveness of WVs response capability including the right to intervene into a specific emergency


Partnership Leader HEA

1. The PL-HEA is responsible for global response start up and supports the response to achieve global HEA standards by mobilising global technical and financial resources

2. Accountable to Partnership Executive for overall response capability. Provides feedback on specific response results, performance & risks based on WV & external humanitarian standards

3. Supports all levels of management in the articulation and application of WV global policy & strategy in the response

4. Monitors response results and system with right of intervention to address lack of compliance and performance

5. Supports RL in Management of WV global executive stakeholders (inclusive of SO-CEOs)

6. Is a member of the Partnership Executive Team.




• Partnership Executive TOR

• Leadership Responsibilities and Accountabilities in Emergency Response (RACI and TORs)

EMS Function: Partnership Leader HEA (PL-HEA)LE

AD

39

Appendix BPROGRAMMES FUNCTION

“PLAN”Version 1.0, December 2012,


40 EMS Function: Programmes

Function Purpose

To assess needs, analyse data, design programme, and acquire income to address humanitarian needs to the response standards level and continues to improve upon them.


Design Monitoring and Evaluation (DME)

Plan, implement, analyse and share findings from assessments and programme monitoring

Develop programme design based on response strategy, context and humanitarian needs

Design and support the implementation of the programme monitoring system

Plan and manage baselines, evaluations and reviews

Programming

Establish, resource and staff the programmes unit to meet response needs

Facilitate programme planning process with all functions to ensure alignment with context, humanitarian needs and response strategy as well as operational feasibility and technical quality Support Finance in the allocation and tracking of response funding to ensure response strategic priorities are funded and effective leveraging of available funding

Facilitate donor liaison & advocacy to resource operations plan to address humanitarian needs

Develop and submit proposals to donors to resource operations plan

Support Finance to establish a grant management system to ensure fulfilment of donor programming requirements

Information Management

Establish response information management system to meet response needs

Compile and analyse relevant information to inform response design, programme management, operational improvement and promote learning

Share information (including analysis) with internal and external stakeholders on a regular basis to meet their information requirements

Humanitarian Accountability

Ensure the design of programmes takes local capacities into account, build on them and maximise community participation

Develop and support implementation of community consultation and information provision mechanisms

Establish and support implementation of complaints and feedback mechanisms

Orient and train response staff on international standards and their application

Coordinate Humanitarian Accountability planning and learning with other accountability focused INGOs and LNGOs

Ensure that function meets WV minimum quality standards and supports improvement reflection, learning and innovation

7.

8.

9.

10.

1.

2.

3.

4.

5.

6.

11.

12.

13.

14.

15.

16.

17.

18.

19.

PLA

N

41

TOR & SOGs GuidanceAchievement of TOR objectives to quality criteria is mandatory.

SOGs are optional and should be adapted to ensure that the TOR objective is achieved to quality criteria



EMS Function: Programmes

1. Establish, resource and staff the programmes unit to meet response needs

Programmes unit is established, resourced and sufficiently staffed to meet response needs

• Determine Programmes organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy Programmes staff and plan for capacity development

• Ensure Programmes’ staff handovers are conducted

• Develop Programmes budget in coordination with Finance

• Plan for Programmes Unit transition/ integration with NO

Mandatory


(i) Global Technical Resource Network GTRN TORs for Programmes, DME and Accountability

Recommended

(e) People in Aid (PiA) Code of Good Practice


Programming

2. Facilitate programme planning process to ensure alignment with context, humanitarian needs, response strategy as well as operational feasibility and technical quality

All projects and programmes are based on analysis of context and an assessment of need

• Support development of operational intent plan to align with funding allocations ensuring operational feasibility and technical quality

• Write Operational Intent inclusive of targets

• Prepare project RACIs for new grants

Mandatory

(i) Statement of Strategic Intent

(i) Child Well Being Targets

Recommended

(i) Response Operational Plan Template

(i) Project RACI matrix template



• Support mapping of all funding sources with Finance

• Support funding allocation process (Private Non Sponsorship & grant opportunities) in coordination with Finance, Response Manager and Operations to reflect response strategic priorities, operational realities and ensure compliance with relevant funding regulations

• Support Finance to track donor funding allocation and commitments to ensure response strategic priorities are funded

Mandatory

(i) Partnership Board Policy on Relief Funding

(i) WVI Disaster Management Funding Policy

(e) Donor Funding guidelines

Recommended

(i) Funding matrix template

SOGs Tools

3. Support Finance in the allocation and tracking of response funding to ensure response strategic priorities are funded & effective leveraging of available funding

4. Donor liaison and advocacy is undertaken to resource operations plan to address humanitarian needs

Donor liaison helps to inform donor strategy and funding

• Monitor and analyse donor opportunities to ensure they align with operational intent

• Communicate humanitarian needs identified through assessments, monitoring data and community feedback to in-country donors and Support Offices International Programmes Groups

• Collaborate with Advocacy to influence donor funding strategies when appropriate

Recommended

(i) Needs Assessment Reports

(i) Community Feedback Reports

(i) Contextual Analysis Report


43

5. Develop and submit project proposals to donors to resource operations plan

All projects and programmes refer to analysis of context and needs assessment

All projects reflect humanitarian standards

All projects include high quality technical standards and opportunity for community feedback


6. Support Finance to establish grant management system to ensure fulfillment of donor requirements

All grants are managed to donor requirements

• Support finance to conduct grant orientation or grant start-up workshops for relevant staff

• Plan and manage donor reporting to ensure that all donor requirements are met

• Support finance with monitoring of grants for compliance with grant requirements

Mandatory

(e) Grant regulations, guidelines & reporting templates (for donors such as: OFDA, CIDA, AusAID, DFID, ECHO, etc)

Recommended

(i) Implementation plan with cash flow

(i) Grant Reporting Tracker


• Develop project proposals with Operations, Advocacy, Finance and relevant Support functions and ensure stakeholders have the opportunity to review proposals and raise issues prior to submission to donors

• Ensure proposals are aligned with the operational plan, sector DADDs and standards

• Ensure proposals are aligned with accountability standards and basic DME requirements

• Maintain donor and SOs communications to facilitate funding acquisition

• Support Finance to ensure an up-to-date funding matrix

Mandatory

(e) Sphere Standards & Inter-Agency Network for Education in Emergencies (INEE standards

(i) Sector Guideline Packages

(i) Strategic Guidance and Do-Assure- Don’t Do (DADDs) for the First Phase of Humanitarian Emergency Responses

(i) Child Wellbeing Targets

(i) WVI Cost Allocation Method (CAM) Policy

Recommended

(i) LEAP proposal formats

(e) Donor proposal formats

(i) Funding MatrixRecommended


8. Develop programme design based on response strategy, context and humanitarian needs 2

All projects and programmes incorporate an analysis of context and needs assessment

Programme targets the most vulnerable in communities, based on an understanding of each context and respecting the principles of do not harm

Programme design ensures high quality technical standards and opportunities for community consultation/feedback

44

• Review NO Strategy, context analysis and assessment findings for design recommendations

• Facilitate the input of all EMS functions into the programme design process

• Ensure the overall programme design incorporates international humanitarian standards and WV guidance and standards (i.e. Sphere, DADDs, CWBOs, PAF, etc)

• Develop response design incorporating international and WV standard related indicators

Mandatory


(i) Disaster Management Standards

(e) Sphere Standards & Inter-Agency Network for Education Emergencies (INEE) standards

(e) Do No Harm Framework

(i) Sector Guidelines Package

(i) Strategic Guidance and Do-Assure-Don’t Do (DADDs) for the First Phase of Humanitarian Emergency Responses

(i) Child Well Being Outcomes (CWBOs)

(e) Humanitarian Accountability Partnership (HAP) Principles 2010

(i) Programme Accountability Framework (PAF)

Recommended

(i) LEAP in Emergencies



2 Programme design and planning is the responsibility of both Programming and DME sub-functions. Individual tasks in this process should be allocated by

the Programme function lead as appropriate for the specific response

Design Monitoring and Evaluation (DME)

• Plan the initial rapid assessment process and manage the data collection (including primary, secondary data, observational data and community feedback)

• Manage or support ongoing community based assessments as agreed with sector and sub-function leads

• Incorporate baseline indicators into assessments

• Analyse assessment data and provide recommendations for strategy and programme design

• Map interagency assessment processes and participate in joint assessments as agreed with response management

Mandatory

(e) Humanitarian Accountability Partnership (HAP) Principles 2010

Recommended

(i) Programme Accountability Framework (PAF)

(e) Good Enough Guide

(i) Basic Rapid Assessment Tool

(e) Do No Harm Framework

(e) Inter-agency assessment template (MIRA/ HESPER/ACAPS)

(e) UN-OCHA Assessment resources


7. Plan, implement, analyse and share findings from assessments and program monitoring

All projects and programmes are based on analysis of context and an assessment of need

45

• Develop and implement the programme monitoring system which integrates programme and project requirements

• Prepare Indicator Tracking Table (ITT) monitoring reports and share with Operations on a monthly basis

• Collaborate with Information Management and Humanitarian Accountability (HA) to provide summaries of community based data and share with Operations and management to support programme adaptation and improvement

Mandatory

(e) Humanitarian Accountability Partnership (HAP) 2010 Principles



(i) WVI Policy on DM&E management

Recommended

(i) WV Monitoring Guidance

(i) Setting up a Monitoring System


9. Design and support the implementation of the programme monitoring system

Accurate, timely, reliable data provides for an evidence base for decisions about programme implementation implementation (including adjustments in resources, targets and interventions during implementation)

10. Plan and manage baselines, evaluations, reviews and learning events for continuous improvement

Evaluations are done for learning and accountability to donors

Continuous learning and improvement amongst staff ensure increasing levels of quality

Plans of Action from reviews are implemented as core quality requirements

Real time learning events are scheduled

• Conduct real time evaluation (RTE) during the first phase of the response

• Plan and implement real time learning event (RT LE) with Region and H-LEARN and monitor implementation of resulting plan of action

• Plan and manage project/programme baselines, evaluations and reviews to meet donor and organisational requirements

• Communicate baseline, evaluation and review findings with response staff and communities

• Develop Plans of Action that address evaluation, review recommendations and monitor implementation

Mandatory

(i) WVI Policy on DM&E management

(i) Key Steps for Conducting a Lessons Learnt Event

(e) Donor Evaluation TORs

Recommended

(i) Baseline & Evaluation s guidance

(i) 8 Steps to Evaluation planning




Information Management

11. Establish response information management system to meet response needs

Systems are in place to manage requests for information in a structured and efficient way

• Assess programmatic information needs of internal and external stakeholders

• Design and maintain information management system with Information and Communication Technology

• Contextualise protocols for internal information sharing with relevant functions. Agree on common information sharing protocols with external stakeholders and RM


12. Compile and analyse relevant information to inform response design, programme management, operational improvement and promote learning

Accurate, timely, reliable monitoring date provides an evidence base for decisions about programme implementation (including adjustments in resources, targets and interventions during implementation)

• Compile and synthesize data and information from internal (assessment, monitoring community feedback, context assessment) and external (UNOCHA, Clusters, etc) sources

• Conduct regular analysis of information and make recommendations to inform ongoing programme improvement, promote learning and support requirements

• Support the application of mapping and compiling of programme information for sharing as required with internal and external stakeholders

Recommended

(i) Weekly Response Report template

(i) Monitoring Data Reports

(i) Context Analysis Reports

(i) Community Feedback Reports

(i) Security Reports

(e) External Sitreps

(e) 3 Ws (Who, What, Where)

(e) Cluster Minutes


47

14. Ensure the design of programmes takes local capacities into account, builds on them and maximises community participation

Programmes consider existing local skills, capacities and possible programme harm

Programme activities increase community capacities

Communities are purposely empowered and their capacity built to participate in all components of the project cycle


13. Share programme information with internal and external stakeholders on a regular basis to meet their information requirements

Systems are in place to manage requests for information in a structured and efficient way

• Lead the preparation and sharing of reports to relevant stakeholders in coordination with communications

• Lead the preparation and sharing of programme progress report to management based on analysis of collected information/data

• Coordinate information sharing with Programmes, Operations and Liaison to ensure external reporting requirements (i.e. Clusters, govt. and other local stakeholders) are met

• Coordinate with Communications to ensure response information is regularly updated

Recommended

(i) WVI Sitrep Template

(i) Monthly Report template

(i) Weekly Response Report template


• Coordinate with DME and Operations to ensure beneficiary skills, capacities and conflict risks are included in assessments and consultation processes

• Coordinate with DME and Programmes to ensure proposals, logframes and design documents include community engagement, including the participation of the most vulnerable and aim to increase local capacity

Mandatory




(e) Sphere Common Standards 1- Participation

Recommended

(e) Do No Harm Standard

(i) Integrating Peacebuilding and Conflict Sensitivity (I-PACS) tool

(i) Guidelines on Conflict Sensitive Programming


Humanitarian Accountability

48

15. Develop and support implementation of community consultation and information provision mechanisms

World Vision is in regular contact with communities

Relevant programme information is made available and intentionally provided to communities in a timely, accessible and accurate manner

Communities are aware of, understand and agree with key decisions relating to our intervention


• Design and implement community consultation processes to ensure understanding of World Vision’s role and planned interventions and provide opportunities for input and feedback into programme and project designs

• Design and implement Information Provision plan to ensure that accurate and reliable information about the programme is made available and shared with communities in a timely and accessible manner

Mandatory



Recommended

(e) Focus Group Discussion (FGD) & Key Informant Interview (KII) Guidance

(e) The Good Enough Guide

(i) WV Programme Information Provision Guidelines


16 Establish and support implementation of complaint and feedback mechanisms

Community feedback and complaint procedures are accessible safe and effective

• Inform communities regarding their right to be consulted, make complaints and provide feedback to World Vision

• Design complaint and feedback methods based on community preferences obtained through a consultation process

• Document, implement and monitor complaint and feedback systems to ensure timely responses to communities

• Consolidate and analyse community complaint information to inform Operations and response management of key issues raised by beneficiaries

Mandatory



Recommended

(i) Feedback & Complaints Guidelines

(i) Accountability Toolkit

(i) Food Programming and Management Group (FPMG) & Complaints and Response


49EMS Function: Programmes

17. Orient and train response staff on international standards and their application

18. Coordinate Humanitarian Accountability planning and learning with other accountability focused INGOs and LNGOs

• Liaise with P&C regarding inclusion of key codes and standards including PSEA protocols in staff orientation sessions

• Plan and conduct training sessions with P&C and relevant EMS functions to support implementation of function quality plans

• Engage with staff from Humanitarian Accountability Project and UNOCHA (Humanitarian Accountability and Communications) to ensure a coordinated approach to Humanitarian accountability.

• Participate in local Accountability and Learning groups to ensure collaboration and coordinate Humanitarian Accountability approaches

Mandatory




(e) Sphere & Inter-Agency Network for Education in Emergencies ( INEE) standards

Recommended


(i) Accountability Toolkit

Mandatory





50

19. Ensure that function meets WV minimum quality standards and supports improvement reflection, learning and innovation



• Ensure previous response programmes learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in function

• Ensure Function has quality planning sessions to meet quality criteria of their TOR objectives

• Ensure achievement of all function quality criteria is monitored and reported monthly

• Ensure risks limiting achievement of objective to quality criteria are reported & rapidly addressed

• Ensure mechanisms are established to identify, document, and share function lessons learned

Mandatory


Recommended


(i) Reporting templates




51

Appendix COPERATIONS FUNCTION

“IMPLEMENT”Version 1.0, December 2012,


52

Function Purpose

Implement response objectives to external and internal standards to meet humanitarian needs


IMPL

EMEN

T

Operations

1. Ensure programme planning is informed by technical standards & operational viability to meet humanitarian needs

2. Establish, resource and staff Operations unit to meet response needs

3. Conduct operational planning to ensure effective coordination & timely delivery of response activities

4. Implement & monitor programme to ensure achievement of response goals & objectives

5. Develop and implement operations reporting systems to support timely and accurate Response reporting

6. Implement response operations according to safety standards with support from the Security function

7. Coordinate with Support Services for provision of funds, staff, equipment, vehicles & supplies to ensure rapid program implementation

8. Identify, report & refer operational blockages caused by external actors to Liaison to be addressed through advocacy

9. Meet WV minimum quality standards and support improvement, reflection, learning and innovation in sectors

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatorySOGs are optional and should be adapted to ensure that the TOR objective is achieved to quality criteria



EMS Function: Operations

53

1. Ensure programme planning is informed by technical standards and operational viability

Emergency response is implemented according to internal and external performance standards

Emergency response is implemented in a timely and efficient manner

• Contribute to planning of sector requirements for people, funding and supplies

• Ensure all programme designs are based on needs assessment findings (primary & secondary data) and analysis, targets the most vulnerable/chronically vulnerable and is operationally viable

• Ensure all programmes refer to technical standards, consider government standards and are aligned with Strategic Guidance and Do-Assure Don’t Do (DADDs) for the First Phase of Emergency Responses and Sector Packages

• Ensure inclusion of advocacy issues and cross cutting themes are considered in design

• Ensure programmes & projects are measured according to technical standards and Child Well-being targets

• Ensure Operations Plans are developed and implemented with community engagement, taking into account local capacities and utilising Do No Harm/Local Capacities for Peace (DNH/LCP)

• Determine Operations organisational structure and staffing plan with P&C

• Monitor recruitment and deployment of Operations staff and plan for capacity development

• Ensure Operations staff handovers are conducted

• Develop Operations budget in coordination with Finance

• Plan for Operations transition/ integration

Mandatory


(e) Sphere Minimum Standards


(i) Strategic Guidance and Do-Assure Don’t

Do (DADDs) for the First Phase of

Emergency Responses

Recommended


(e) Do No Harm

(i) LEAP for emergencies

Mandatory


Recommended




2. Establish, resource and staff Operations unit to meet response needs



EMS Function: Operations

54 EMS Function: Operations

3. Conduct response operational planning to ensure effective coordination and timely delivery of response activities



• Plan and facilitate detailed operational plan and delegate responsibilities to carry out plan

• Ensure Accountability mechanisms are in place for Community and stakeholder feedback

• Planning process considers community requirements (i.e. timelines) and progress is monitored by DME

• Facilitate planning between sectors to meet overall program goals

• Facilitate requirements planning with Support Services

• Ensure collaborative planning with external stakeholders such as UN Agencies, other NGOs and Govt ministries where possible through coordination mechanisms

Mandatory



Emergency Responses


(e) HAP Principle

(i) Sector Guidelines Packages

Recommended

(i) Operations plan template


4. Implement and monitor programme to ensure achievement of response goals and objectives and inform operational improvement



• Monitor results against sector plans and address identified issues

• Monitor expenditure reports and take corrective action with Finance and Programmes

• Review M&E and Accountability data with Sectors and Programmes to identify and address any issues for operational improvement

• Review context analysis with Programmes and Liaison for Operational Intent adaptation

• Review findings of learning events and evaluations with Programmes to make operational improvements

• All evaluations of sector interventions are planned with DME to assess effectiveness and timeliness

Mandatory

(e) Sphere Minimum Standards



Emergency Responses


Recommended

(e) Inter Agency Standing Committee (IASC) Technical standards



55EMS Function: Operations

5. Develop and implement operations reporting systems to support timely and accurate Response reporting



• Establish and implement internal reporting system in coordination with DME

• Ensure Operations provide input for grant/donor and programme milestone and reports to Programmes

• Write report on quality risks and their resolution and submit to Response Manager on regular basis

• Ensure that Operations meets reporting requirements for Clusters, Ministries and/or in-country stakeholders

Recommended



6. Implement response operations according to safety standards with support from the Security function


• Organise security assessments for all field operations that inform a security plan

• Implement the recommendations of the security plan for all field operations

• Ensure security incident reporting protocols are complied with by operations staff

• Ensure Operations staff adhere to security standards for staff movement and communications

• Work with Security to ensure safe and effective Civil/Military relationships with armed actors

Mandatory

(i) Core Security Requirements

Recommended

(i) WV Incident Reporting Protocols

(i) WV Civil Military Operations Manual

(includes HISSCAM)


56 EMS Function: Operations

7. Coordinate with Support Services function for ongoing provision of funds, staff, equipment, vehicles and supplies to ensure timely implementation of operations



• Ensure Ops submit clear and timely budgets and funds requests to Finance

• Ensure Ops submit clear and timely staff plans to P&C and immediately advises on changes

• Ensure Ops follow Finance procedures to rapidly process payments to suppliers

• Ensure Ops submit vehicle requirements to logistics and follow vehicles management guidelines

• Ensure Ops submit communications requirements to ICT and follow ICT procedures

• Address delays in Support Services to Response Manager for rapid resolution and waivers

Recommended

(i) Budget templates & Sector dollar handles


8. Identify, report and refer operational blockages caused by external actors to Liaison to be addressed through external advocacy


• Establish operation team protocols where sector and geographic leads identify and report where external actors are delaying/preventing implementation

• Refer issues delaying implementation to Liaison to resolve through inter-agency coordination and/or government relations

• Ensure protection issues are reported and addressed in coordination with Advocacy

Recommended

(e) Minimum Standards for Protecting

Mainstreaming

(e) Protection Code of Conduct

(e) UN Secretary General’s Bulletin on Physical

& Sexual Exploitation and Abuse


57EMS Function: Operations

9. Meet WV minimum quality standards and support improvement, reflection, learning and innovation in sectors


Quality is assured, monitored and provide adequate resources

• Ensure previous sectors learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of sector best practice and innovation

• Ensure sector have a quality plan to meet quality criteria and minimum sector standards

• Ensure achievement of all function quality criteria is monitored and reported regularly



Mandatory



(e) HAP Standards

(i) Response Lessons Learned

Recommended





58 EMS Function: Operations - Sector

Function Purpose

Implement response sector objectives to external and internal standards

Sub-function - Sector Technical


Sector Technical

1. Establish and staff sector unit to meet response needs

2. Support sector design and operationally plan with sector programme according to response needs, technical standards and operational viability

3. Implement the sector programme according to the approved proposal and budget, ensuring quality of implementation to meet programme objectives

4. Plan and conduct sector specific Non Food Items (NFI) distributions to deliver sector plan

5. Coordinate & contribute to sector programming with the national coordination (Cluster) system & national authorities

6. Monitor and evaluate sector activities and results for operations improvement, adaptation and sector learning

7. Meet internal and external sector reporting requirements

8. Meet minimum quality standards for sector and support improvement, reflection, learning and innovation

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatorySOGs are optional and should be adapted to ensure that the TOR objective is achieved to quality criteria



IMPL

EMEN

T

59EMS Function: Operations - Sector

1. Establish and staff sector unit to meet response needs

Emergency response is implemented according to internal & external performance standards

Emergency response is implemented in a timely & efficient manner

• Determine sector organisational structure and staffing plan

• Recruit and deploy sector staff with minimum sector competency and plan for capacity development

• Ensure sector staff handovers are conducted

• Plan for sector transition/ integration with NO

• Support DME to plan and conduct initial rapid and detailed sector assessment

• Contribute to sector cluster/interagency assessment processes in consultation with DME

• Design sector program based on needs assessment findings (primary and secondary data) and analysis, targeting the most vulnerable

• Ensure sector programme refer to technical standards, consider government standards and are aligned with Strategic Guidance and Do-Assure Don’t Do (DADDs) for the First Phase of Humanitarian Emergency Response and Sector Packages

• Support the Development sector budget and identify/address funding gaps with Finance and Programs

• Include sector focused advocacy issues, cross cutting themes and sector integration in design where appropriate

• Ensure sector programmes are measured according to technical standards and Child Well-being targets

• Develop and implement sector plans with community engagement utilising Do No Harm (DNH)

• Support Programs in design of sector proposals for donor submission

• Work with Programs and Liaison to influence donor funding using sector assessment and design data.

• Work with Accountability to ensure that mechanisms are in place for community feedback on sector

Mandatory


Recommended


Mandatory






Humanitarian Emergency Response

(i) Sector Guidelines Package

Recommended

(e) Govt/Cluster Standards

(e) Minimum Standards for Protection

Mainstreaming



2. Support sector design and operationally plan with sector program according to response needs, technical standards and operational viability

Emergency response implemented according to internal & external performance standards



3. Implement the sector programme according to approved design and budget and ensure quality of programme implementation to meet programme objectives



• Develop and implement detailed sector work-plans to achieve sector targets

• Ensure accountability mechanisms are in place for community and stakeholder feedback on sector activities

• Plan funding requirements with Finance

• Follow finance procedures to rapidly process payments for suppliers

• Plan supplies requirements and submit clear procurement requests to logistics

• Plan and submit vehicle requirements to logistics and follow vehicles management guidelines

• Plan and submit communications requirements to ICT following their procedures

• Support staff safety by consulting with Security on operational context and ensuring sector staff follow security requirements

• Address delays in Support Services with Response Manager for rapid resolution

• Develop distribution plans with Sector leads and advise Security where required

• Plan & implement distributions with Sectors as per standards to ensure beneficiary and staff safety

• Plan trucking requirements for NFI delivery from Point of Entry to warehouse

• Maintain audit compliant distribution records

• Prepare and share distribution reports to support reporting requirements

• Maintain NFI inventory records, prepare and share monthly NFI CTS reports

Mandatory


(i) Strategic Guidance and Do-Assure Don’t Do (DADDs) for the First Phase of Emergency Responses


(e) Humanitarian Accountability Partnership (HAP) 2010

Recommended

(i) Sector Guideline Package

(e) Govt/Cluster Standards

(i) Workplan template

(i) LEAP for emergencies

Mandatory


Recommended

(e) Minimum Standards in Protection

(i) Global Pre-Positioning Resource Network/ Humanitarian Operations Services Team (GPRN/HOST) Emergency NFI Operational Guidelines



4. Plan and conduct specific NFI distributions to deliver sector plan

Ensure application of relevant logistical processes and procedures necessary to support the response

All logistical supplies are tracked and auditable


5. Coordinate and contribute to sector programming with the national coordination (Cluster) system, and national sector authorities and I/NGOs



• Work with Liaison to ensure MOUs are in place with Govt and UN to allow sector to operate

• Establish linkages and pursue opportunities to partner with sector related organisations, CBOs, local authorities and UN Cluster and coordinate interventions to avoid duplication and conflicts of interest

• Participate and contribute to decision making in UN sector Cluster or Govt coordination system, harmonise WV interventions with other agencies and provide updates on WV program

• Provide Information Management with summaries of information gathered at Cluster & Govt coordination forums

• Coordinate transition planning with Govt, UN sector cluster and sector organisations

• Develop and maintain strong working relationships with I/NGOs working in the same sector

Mandatory

(e) HAP Benchmarks 2 & 7

Recommended

(e) Global Humanitarian Platform (GHP)

Principles of Partnership

(i) Disaster Management Standards

Partnering Standard



• Monitor sector activities, indicators and results against plan and design

• Adapt sector operations plan or design to address changes in context

• Monitor sector expenditure reports and take corrective action with Finance and Programmes

• Review M&E & Accountability data with Programmes to identify & address any issues for operational improvement

• Review context analysis with Programmes and Liaison for adaptations to sector plan

• Review findings of learning events, evaluations and sector best practice with Programmes to make operational improvements and overall program quality

• Plan for evaluation of sector interventions with DME to assess programme effectiveness

• Identify, document and plan actions to address internal and external issues which affect sector programme quality

Recommended

(i) LEAP for Emergencies

(i) Workplan template


6. Monitor and evaluate sector interventions to inform operational improvement, adaptation and learning



• Establish and implement internal sector reporting system in coordination with DME

• Provide inputs for grant/donor and programme milestone reports to Programmes as per schedule

• Establish internal sector reporting system in coordination with DME and Information Management

• Write and share reports for cluster, ministry and/or other in-country stakeholders as required

• Provide timely sector details for programmes and liaison requirements as requested by functions

Recommended

(i) Sector Report template

(e) Donor report requirements & schedule


7. Meet internal and external sector reporting requirements




Recommended

• Ensure previous response function learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in function

• Ensure Sector has quality planning sessions to meet quality criteria of TOR objectives & minimum sector standards

• Ensure achievement of all function quality criteria is monitored and reported regularly



Mandatory


Recommended





8. Meet minimum quality standards for sector and support improvement reflection, learning and innovation



64

Appendix DSUPPORT SERVICE FUNCTION

“RESOURCE”Version 1.0, December 2012,


EMS Function: Support Services 65

Function Purpose

To provide services that ensure a rapid and effective response delivery.

Sub function – Administration


1. Establish, resource and staff the administration unit to meet response needs

2. Establish, secure and maintain office facilities

3. Establish, secure and maintain team housing to staff care standards

4. Establish and implement hotel and venue booking services

5. Establish and implement localised office asset management policies and procedures

6. Establish and implement support services for visitors and incoming staff (and families)RES

OU

RCE

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatory.


– Mandatory quality criteria to be achieved to successfully complete the TOR objective

(e) – External sourced Tool or Standard to World Vision

(i) – Internal sourced Tool or Standard for World Vision


66 EMS Function Support Services

1. Establish, resource and staff the Administration unit to meet response needs

• Determine Administration organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy Administration staff and plan for capacity development in line with GTRN

• Ensure Administration staff handovers are conducted

• Develop Administration budget in coordination with Finance

• Plan for Administration transition/integration

• Source available, appropriate and secure office facilities to meet operational requirements

• Establish and implement a facility (including warehousing) leasing system and procedures to facilitate operational requirements within available budget

• Allocate office space to functions and adjust based on changing needs and available budget

• Plan, establish and maintain requirements for office furniture and equipment, telephone, internet and utilities

• Establish and implement cleaning and maintenance services for all offices

• Establish and implement a system for procurement of office supplies and consumables

• Establish and maintain office reception services where required

• Maintain updated list of contact details for WV offices, warehouses and staff, government and NGOs and distribute regularly

• Coordinate with Security to implement security requirements for office facilities including: guard services, procedures for office security and asset safekeeping, and equipment (i.e. fire extinguisher, first aid kit)

• Establish and implement a system to monitor attendance of office based daily labour

Recommended

(e) People in Aid (PiA) Code of Good Practice

Recommended

(i) WVI Field Financial Manual

(i) Offices Item Checklist



2. Establish, secure and maintain office facilities

Emergency response offices, team houses and warehouses are set up in new or existing locations in coordination with People & Culture, Operations and Logistics

EMS Function: Support Services 67EMS Function Support Services

• Source available, appropriate and secure housing to meet requirements

• Establish and implement a house leasing system and procedures to facilitate operational requirements within available budget

• Allocate staff to team houses with P&C and maintain updated list of allocations

• Plan, establish and maintain requirements for furniture, equipment, telephone, internet and utilities

• Establish and implement a system for procurement and storage of team house supplies (i.e. water, cleaning products, fuel, etc)

• Establish and implement household and maintenance services for all team houses (i.e. cleaning, cooking, utility maintenance, repairs, etc)

• Coordinate with Security to implement security requirements for team house facilities including: guard services, procedures for office security and asset safekeeping, and equipment (i.e. fire extinguisher, first aid kit)

Recommended


(i) Team Houses Item Checklist


• Identify and negotiate rates with safe and accessible hotels and venues for incoming staff and visitor accommodation and to host events (i.e. lessons learnt events, workshops, etc)

• Develop and implement hotel accommodation procedures for incoming staff, consultants and visitors as required and facilitate payments

• Develop and implement venue booking procedures for events and facilitate payments

Recommended



3. Establish, secure and maintain team housing to staff care standards


Safe emergency accommodations are sought for response staff

4. Establish and implement hotel and venue booking services

Safe emergency accommodations are sought for response staff

• Ensure adequate fixed asset policies & tracking systems are in place in collaboration with Finance.

Recommended


(i) Asset Inventory Template


5. Establish and implement localised office asset management policies and procedures


68

6. Establish and implement support services for visitors and incoming staff (and families)

Support People & Culture by providing a list of visas, work permits and health requirements for all nationalities

Support People & Culture by coordinating the logistics component of new staff orientations and visits

Arrange transportation services for response team through coordinated efforts with People & Culture, Security & Logistics

• Provide staff and visitors with country specific information on visa, work permit and health requirements and assist them with application processes

• Liaise with functions & RM to track, manage and approve visitor plans

• Develop a comprehensive arrival and induction package including country information, details on health facilities, embassies, churches recreational facilities as well as Child Protection and other required forms

• Coordinate with P&C, Security and ICT to provide new and incoming staff and visitors with administration and security briefings, ID Cards and access to communications (internet and mobile phone)

• Manage local and international travel requests for all staff and visitors

• Contract companies for air travel services and local transport and implement an appropriate monitoring system

• Develop and implement a system to facilitate airport transfers for staff and visitors

• Ensure that incoming staff and visitors are allocated to team houses or booked into hotels

• Coordinate with logistics to arrange adequate transport services for in-country staff and visitor travel, including airport transfers

• Assist Security to maintain an accurate staff movement tracking system

• Support P&C and Security in the case of a relocation or evacuation of staff as required( i.e. organise transport, flights, accommodation and visas to designated relocation/evacuation location)

Recommended

(i) Arriving international staff &

departing staff checklists

(i) Orientation Booklet for visitors

(i) Visitor Management checklist

(i) Visitor roster


EMS Function: Support Services

69EMS Function: Support Services

Function Purpose


Sub function – Logistics


1. Conduct Logistics and Supply Chain assessment and strategic planning with key stakeholders

2. Establish, staff and resource Logistics and Supply Chain unit to meet response needs

3. Plan and facilitate airlift operations (in-country) to support response operations where required

4. Support Information & Communication Technology (ICT) to set up and maintain radio communications network where required

5. Establish and implement procurement system (including international and local purchasing and contracting)

6. Establish and implement Goods In Kind (GIK) management system

7. Establish and implement warehouse facilities and management system

8. Establish and operate Logistics Support cell where required

9. Establish and implement fleet management system

10. Provide timely, accurate and clear logistics reporting to response management

11. Meet WV minimum quality standards & support improvement reflection, learning & innovation

TOR & SOGs Guidance







RES

OU

RCE

70

1. Conduct Logistics and Supply Chain assessment and strategic planning with key stakeholders

Logistics is fully integrated in programme development and implementation

• Conduct logistics assessment which considers: infrastructure, accessibility, transport, H-Corridor & logistics hubs, fuel availability, port operations, freedom of movement, customs clearance, risks, local market operations and identification of major vendors & suppliers

• Liaise with UN Logistics cluster as part of assessment process

• Liaise with GPRN/HOST Logistics Manager regarding pre positioned supplies availability

• Identify immediately required programme supplies with Operations and office and team house supplies with Administration

• Support Programmes and Operations in program planning to ensure projects are logistically viable

• Review global HEA response learning reports for relevant logistics recommendations

• Develop Response logistics plan based on assessment, requirements, coordination & learning

• Determine Logistics organisational structure and staffing plan with P&C in line with GTRN

• Work with P&C to recruit and deploy staff and plan for capacity development

• Ensure Logistics staff handovers are conducted

• Develop Logistics budget in coordination with Finance

• Plan for Logistics transition/ integration

Recommended

(i) GTRN HEA Core and Technical

Competencies

(i) Logistics Budget Template



2. Establish, staff and resource Logistics & Supply Chain unit to meet response needs

Recommended

(i) Logistics Capacity Assessment Tool



3. Plan and facilitate airlift operations (in-country) to support response operations where required

• Plan and execute airlift operations within response area of operations to safely transport staff and supplies due to insecurity, inaccessibility and/or large distances

• Set up the radio communications network including procurement of equipment, securing licences with local authorities and installation of network

• Facilitate staff training on radio use and protocols

• Coordinate with ICT and Security on staffing and management of RF base station

• Maintain radio equipment and system



4. Support ICT to set up and maintain radio communications network where required

Ensure application of relevant logistical process & procedures necessary to support the response

72

5. Establish and implement procurement system

(including international and local purchasing and contracting)

Streamlined processes and/or waivers are in place for local rapid procurement

Procurement seeks to maximise the cost effectiveness of the intervention

Procurement purchases locally where possible taking into account implications for local economy and power structures

• Coordinate with Global Pre-positioning Resource Network /Humanitarian Operations Services Team (GPRN/HOST) to airlift prepositioned emergency Non Food Items (NFIs) and source items to be procured

• Conduct orientation on procurement processes and procedures for response staff

• Establish procurement planning system through sector/department procurement plans

• Establish procurement function including internal controls and procurement request tracking system, or where there is an existing function, liaise with Finance to ensure that appropriate procurement management systems exist and that EMR.03 rapid procurement procedures are being implemented

• Establish and implement tendering processes, vendor contract management system and shipment tracking system. Coordinate with Administration and Finance to develop contracts/Memorandum of Understanding (MOUs) and access specialist legal support where necessary. Coordinate with Finance on invoice payments

• Procure immediately required emergency Non Food Items (NFIs), equipment or office /team house supplies

• Establish and implement shipping, land and air cargo tracking system

• Manage customs clearance processes for international cargo

• Maintain procurement filing system

• Establish expediting system and order of communication regarding the item deliveries between Logistics, warehouse staff and ordering managers

• Develop an understanding of local power structures and coordinate with DM&E to monitor impacts of procurement on market conditions as part of response monitoring system

Mandatory

(e) Sphere Handbook 2011

(i) GPRN/HOST Emergency Procurement Guidelines

(i) Global Supply Chain Management: Procurement, Reference, Policy and Process Manual

Recommended

(i) Field Financial Manual (EM.01)

(e) Do No Harm (Resource Transfers)

(e) Transparency International Anti-Corruption Handbook




• Coordinate with Operations and Programmes to identify Goods in Kind (GIK) needs

• Solicit, compile and process Goods In Kind (GIK) offers with sector leads to confirm appropriateness

• Manage GIK shipments with SOs and facilitate customs air-sea clearance including local authority approvals to import Goods In Kind (GIK) free of charge

• Plan with warehouse management to ensure availability of appropriate storage space

• Coordinate with Operations Non Food Items(NFI) and Goods In Kind (GIK) Coordinator regarding distribution of Goods In Kind (GIK)

• Maintain inventory records and share with Sector leads and Operations management

• Ensure GIK is effectively tracked and monitored including planned and impromptu stock inspection and audit

Recommended

(i) Goods in Kind (GIK) Guidelines for CAT III Rapid Onset Emergencies

(i) HEA Humanitarian Operations (H-Ops) Goods in Kind (GIK) go List


6. Establish and implement GIK management system

Procurement seeks to maximise the cost effectiveness of the intervention


7. Establish and implement warehouse facilities and management system


• Determine response warehousing requirements with Operations and Programmes and source cost effective and safe warehousing / storage that meets international standards

• Ensure all warehousing equipment is in place and meets FPMG standards

• Install and implement warehouse inventory and administration systems including Standard Operating Procedures (SOPs) that effectively track and monitor stock and ensure adherence to internal controls

• Prepare warehouse layout plan

• Store Non Food Items (NFI) materials

• Implement load, ship set and throughput planning

• Conduct warehouse inspections and planned and impromptu stock inspections and audits

• Prepare monthly reports on all supplies


Recommended

(i) Food Programming Management Group (FPMG) manual

(i) GPRN/HOST Emergency NFI Operational Guidelines

74

• Plan and establish the Support cell including office, general and capital equipment and reception function requirements

• Negotiate contracts with vendors (transport, accommodation, fuel, food, ITC, 3PL provider, Customs agent etc)required to support the Support Cell function

• Recruit and manage Support cell staff as required


8. Establish and operate Logistics Support cell where required

• Determine vehicle requirements (including security and communications requirements) and allocations to response functions and pool with Operations, RM and Finance

• Procure and/or rent vehicles that provide effective and safe transportation

• Coordinate with Administration and Finance to develop and agree contract and MoUs with suppliers and access specialist legal support where necessary

• Recruit and train drivers including basic security training

• Manage daily allocation of pooled vehicles

• Plan and implement services for international staff transportation and visitor airport transfers with Administration

• Ensure transport / vehicle request procedures are documented and shared with staff

• Plan and facilitate vehicle parking requirements, cleaning and maintenance, and fuel supply

• Plan for and maintain vehicle requirements in case of evacuation

• Implement log books use to ensure accurate charging to grants and sub/ functions

Recommended

(i) Vehicle Fleet Safety and Management Partnership Policy

(e) UN WFP/Fleet Forum Standards and Guidelines


9. Establish and implement fleet management system

Ensure application of relevant logistical processes & procedures necessary to support the response



• Ensure monitoring and reporting of achievement of objectives to management

• Ensure any risks to achievement of quality objectives are tracked and quality risk in reports are resolved in a timely manner

Recommended

(i) Management report template


10. Provide timely, accurate and clear logistics performance reporting to response management

• Ensure previous response logistics learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in response logistics

• Ensure Logistics has quality planning sessions to meet quality criteria of their TOR objectives

• Ensure achievement of all logistics quality criteria is monitored and reported monthly



Mandatory


Recommended





11. Meet WV minimum quality standards and support improvement, reflection, learning and innovation


Quality is assured, monitored and provided with adequate resources

76

Function Purpose


Sub function – Finance


1. Conduct Finance assessment and strategic planning with key stakeholders

2. Establish, resource and staff the Finance unit to meet response needs

3. Establish & implement response funding management system (planning, allocation & monitoring)

4. Establish and implement accounting structure and appropriate internal controls

5. Establish and implement budgeting system and processes

6. Establish and implement financial monitoring, a reporting system and associated processes

7. Meet WV minimum quality standards & support improvement reflection, learning & innovation

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatory. SOGs are optional and should be adapted to ensure that the TOR objective is achieved to quality criteria



EMS Function: Support ServicesR

ESO

URC

E

77

1. Conduct finance assessment and strategic planning with key stakeholders

• Conduct assessment including NO Finance capacity

• Complete risk assessment template & submit to Chief Finance Officer and Global Audit Office

• Liaise with RM and P&C on appropriateness of response structure and staffing in respect to funding available and response needs

• Consult internal stakeholders (i.e. HEA Business Director, RO & NO Finance) in planning

• Develop finance strategy and plan

• Plan and facilitate finance training for non-Finance staff

• Ensure WV’s registration is valid and appropriate emergency exemptions are in place

• Determine Finance organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy Finance staff and plan for capacity development

• Ensure Finance staff handovers are conducted

• Develop Finance budget

• Plan for Finance transition/ integration

Recommended

(i) Finance Risk Assessment Guide

(e) People in Aid – Principle 6

(i) GTRN HEA Core and Technical Competencies



2. Establish, resource and staff the Finance unit to meet response needs

Programme finance staff have sufficient training and capacity development to meet performance objectives


78

3. Establish and implement response funding management system (including planning, allocation and monitoring)

• For a Global Response, apply $5 million pre-authorisation to enable a timely commencement of response

• Liaise with NO management and RM to access available funding mechanisms as appropriate: 20% ADP budget transfer (EMR.04), National Emergency preparedness Response Fund (NEPRF) (EMR.02) and Regional EPRF

• Pool unrestricted PNS

• Lead funding allocation process (PNS & grants) with support from RM Programmes Operations to reflect response strategic priorities and ensure compliance with funding policy

• Monitor PBAS to ensure SOs commit funds accurately and on a timely basis and work with Programmes and RM for resolution of issues

• Prepare reports of actual and anticipated partnership funding and communicate to key internal stakeholders

• Prepare cash flow and communicate it to appropriate stakeholders (GC treasury, SOs, etc)

• Ensure Emergency Preparedness Resopnse Fund (EPRF) is replenished and possibly NEPRF as required

Mandatory

(i) Partnership Policy on Relief Funding

(i) Disaster Management Funding Policy

Recommended

(e) Donor Funding Guidelines

(i) EPRF Policy

(i) Funding Matrix Template


Resources and budgets are adequate to ensure quality of programming

EMS Function Support Services

79

4. Establish and implement accounting structure and appropriate internal controls

• Create appropriate PBAS numbers for response

• Ensure SAs are directed through the NO cost centre

• Global treasury through NO account 300, funding to NO bank account and transferred to Response Office bank account

• Set up Sunsystems

• Ensure rapid service delivery implementing where appropriate: Emergency Finance Procedures (EMR.01), authority levels (EMR.03) and procurement and payment authority levels (EMR.03)

• Document and implement internal controls (which take account of learnings from recent NO and response audits) and orientate staff on internal controls and related policies

• Ensure compliance with donor requirements

• Minimise cash payments and implement cash carrying procedures which mitigate risk

• Implement adequate controls for fixed assets including maintaining register with Administration

• Implement record retention and storage policy and plan for contingency in case of evacuation

• Indentify internal and external audit requirements and develop schedule which includes an internal audit between 6 and 12 months

• Implement audit recommendations as appropriate and inform audit teams of significant issues arising during their period of responsibility

Mandatory

(i) WVI Audit requirements

(e) Specific Donor guidelines

(e) Watch DogPro (USAID)

(i) Labour Distribution Reports

Recommended

(i) WVI Field Financial Manual standards


Financial procedures fully comply with WVI Field Finance Manual standards

Sufficient documentation is in place to ensure that internal and external audits will be passed to at least acceptable risk

All grants are managed to donor financial requirements


EMS Function Support Services80

• Develop budget guidelines and budgets with functions that meet programme needs

• Code budgets are entered into SunSystems & shared with sector, project and function leads

• Anticipate cost escalations and fully budget employee entitlements

• Determine Cost Allocation Method (CAM) rate and apply to budgets and grants

• Review and approve funding budgets prior to submission to ensure accuracy and compliance with donor requirements

• Access and utilise pre award cost provisions as appropriate

• Budget for HEA cost recovery mechanisms (i.e. Global Rapid Response Team (GRRT) and Global Pre-positioning Resource Network/Humanitarian Operations Services Team (GPRN/HOST) deployments, GPRN/HOST emergency supplies and equipment, Quality Assurance and DM Capacity Building Fund)

Mandatory

(e) Donor grant guidelines & budget templates

Recommended


(i) WVI Cost Allocation Method (CAM) Policy

(i) Budgeting Guidelines


5. Establish and implement budgeting system and processes

Resources & budgets are adequate to ensure quality of programming

6. Establish and implement financial monitoring, a reporting system and associated processes

All grants are managed to donor financial requirements

• Ensure accurate funding pipelines and projections

• Ensure identification, scheduling and compliance with donor financial reporting requirements

• Develop and implement processes to monitor expenditure, and provide timely, accurate financial reports for SOs, donors, RO and GC

• Ensure that requests to amend funding agreements (i.e. no cost extensions for grants, budget line item revisions) are submitted to SOs and/or donors in timely manner with Programmes

Mandatory

(e) Donor grant guidelines and financial reporting templates

Recommended

(e) Donor / grant reporting schedule

(i) PNS / pooled funds reporting schedule



• Ensure previous response finance learnings from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in response finance

• Ensure Finance has quality planning session to meet quality criteria of their TOR objectives

• Ensure achievement of all finance quality criteria is monitored and reported monthly


• Ensure mechanisms are established to identify, document, and share finance lessons learned

Mandatory


Recommended









Function Purpose

To provide services that ensure a rapid and effective response delivery

Sub function – Information & Communications Technology (ICT)


1. Conduct ICT assessment and strategic planning with key stakeholders

2. Establish, resource and staff ICT unit to meet response needs

3. Deploy and maintain ICT infrastructure to support response operations

4. Initiate and adapt ICT service delivery and operations to meet changing needs of the response

5. Establish and/or maintain working relationships with strategic internal and external stakeholders and partners

6. Meet WV minimum quality standards & support improvement, reflection, learning & innovation

TOR & SOGs Guidance







RES

OU

RCE


• Conduct an assessment to understand the emergency response ICT needs and scale of required operations including risk assessment for communications and current NO capacity

• Liaise with key external ICT stakeholders and partners (i.e. national government, UN Emergency Communications Cluster, NetHope) during assessment process

• Liaise with Global Procurement Office (GPO) and Global Pre-positioning Resource Network/ Humanitarian Operations Services Team (GPRN/HOST) regarding hardware and software requirements

• Liaise with Global ICT and NO ICT leaders regarding ICT strategy and response plan

• Develop ICT strategy and response plan

Recommended

(i) HEA ICT Operation Imperatives Guidelines

(i) Global ICT Standards and HEA ICT Standards and Tools

(i) ICT assessment template

(i) HEA ICT response plan template


1. Conduct ICT assessment and strategic planning with key stakeholders

An ICT response strategy is developed which is in alignment with the response strategy, and takes into account the ICT context

2. Establish, resource and staff the ICT unit to meet response needs

• Appoint ICT leader responsible for leadership, management and coordination

• Determine ICT organisational structure and staffing plan with P&C in line with GTRN

• Work with P&C to recruit and deploy ICT staff and plan for capacity development

• Ensure ICT staff handovers are conducted

• Develop ICT budget in coordination with Finance

• Plan for ICT transition/ integration

Recommended


(i) ICT structure template

(i) GTRN HEA Core and Technical Competencies standards

(i) PA template

(i) ICT budget template


Be the primary ICT Leadership, Management and Coordination point in relief operations in order to implement sustainable ICT solutions

Establish & manage a scalable ICT department with key functions taken into account (leadership & management, systems administration, network administration, telecommunications management, service desk administration management)


• Develop and maintain ICT infrastructure and connectivity solutions, for secure, efficient and effective flow of information to facilitate operations and decision making (includes personal productivity tools and data gathering, storage and retrieval systems)

• Establish usable public and NO ICT infrastructure in response sites

• Plan and coordinate procurement and delivery of ICT systems (hardware & software) with GPRN/HOST and GPO

• Liaise with SO donor engagement and Goods In Kind (GIK) teams to leverage ICT GIK & Services In Kind (SIK) opportunities

• Maintain an aggregated view of ICT projects’ status and implementation schedules

• Set up & provide personal productivity devices (i.e. computers, mobile devices, MFDs, etc )

Recommended

(i) GICT Standards (WV Central)

(i) GPO, ICT Equipment List & Pricing


3. Deploy and maintain ICT infrastructure to support response operations

Deployment & maintenance of ICT infrastructure, connectivity systems, business applications, personal productivity tools, security systems & business continuity plan

4. Initiate and adapt ICT service delivery and operations to meet changing needs of the response

• Develop, document, implement, test and review business continuity plan (including disaster recovery plan) to ensure high systems availability and continuity

• Develop and maintain security systems to ensure network, systems and data security

• Design and implement sustainable ICT support services for the response

• Implement a scalable help desk system to provide customer services to staff

• Establish and maintain an ICT asset management plan including register with Finance

• Facilitate site set up (with document library) with Information Management and provide technical support to response information management requirements

• Implement training on ICT systems (including satphones, BGAN, terrestrial telecoms, VHF and HF radios) when required

Recommended

(i) Business Continuity Assessment

(i) GICT Standard for Security


Establish appropriate operational procedures, tools and resources for effective and timely delivery of technical customer support services to all users that ensures high user productivity and guarantees customer satisfaction


• Coordinate and manage ICT regulatory issues with appropriate national government agency

• Coordinate with key partners and leverage common services provided through Emergency Telecommunications Cluster (ETC) and NetHope Emergency Response Working Group

• Liaise with GPO, GPRN/HOST and local suppliers to procure hardware and software requirements

• Liaise with NO, SO ICT teams and Global ICT to ensure coordinated support to response

• Share ICT situation update with key internal stakeholders on a regular basis

Recommended

(i) GPO List of ICT Equipment & Pricing

(e) List of countries that have signed the UN temper convention (i.e. no restriction for import of satellite and radio telecommunication equipment)


5. Establish and/or maintain working relationships with strategic internal and external stakeholders and partners

Establish and build operational working relationships with both internal and external stakeholders and partners (UN Agencies, NGOs, academia, government agencies, technology vendors etc)


• Ensure previous response lCT learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in response lCT

• Ensure ICT has quality planning sessions to meet quality criteria of their TOR objectives

• Ensure achievement of all ICT quality criteria is monitored and reported monthly



Mandatory


Recommended








Function Purpose

To provide services that ensure a rapid and effective response delivery

Sub function – People and Culture (P&C)


1. Conduct P&C assessment and strategic planning with key stakeholders

2. Establish, resource and staff P&C Unit to meet response needs

3. Implement P&C workforce planning and forecasting and develop appropriate staffing solutions

4. Develop and implement staff on-boarding and exit procedures

5. Establish and implement performance management system and processes

6. Coordinate development and facilitate implementation of capacity building plans

7. Establish and implement response P&C policies, procedures and systems (including recruitment) to ensure the timely achievement of response objectives.

8. Establish and implement staff well-being and engagement mechanisms


TOR & SOGs Guidance







RES

OU

RCE


• Conduct P&C assessment including P&C risks and NO P&C capacity

• Consult internal stakeholders in developing P&C strategy – RO P&C, NO P&C

• Consult with other NGOs to ensure good understanding of the environment, standardise practices and share resources

• Collaborate with NO and Regional P&C to define division of labour of P&C responsibilities

• Consult with all function leads to develop org charts, identify current and future staffing needs and develop work force plans

• Develop and implement P&C strategy; and P&C plans

• Ensure communication of P&C response activities to NO, RO & GC P&C and stakeholders

Recommended

(i) GC P&C LEADER Strategy

(e) People in Aid: Principle 3


1. Conduct P&C assessment and strategic planning with key stakeholders

2. Establish, resource and staff the P&C unit to meet response needs

• Appoint P&C leader responsible for leadership, management and coordination of unit

• Determine P&C organisational structure and staffing plan

• Recruit and deploy P&C staff and plan for capacity development

• Ensure P&C staff handovers are conducted

• Develop P&C budget in coordination with Finance

• Plan for P&C transition/ integration

Recommended





3. Implement P&C workforce planning and forecasting and develop appropriate staffing solutions (i.e. GTRN, ISS&D or National Hires) with the National and Regional P&C

• Develop and implement an international staff recruitment strategy with ISS&D

• Develop and implement a national staff recruitment strategy with NO

• Facilitate function leads to prepare/adapt JDs or TORs in an appropriate language, which include all responsibilities to meet performance objectives

• Use screening questionnaires and selection criteria in recruitment processes and document the process and justification for decisions

• Prepare roster of staff and share with key internal stakeholders on a regular basis

• Coordinate with Administration, ISS&D and Global Technical Resource Network (GTRN) to ensure staff have the required travel and employment documentation (i.e. visas, work permits)

Mandatory

(i) EMS function TORs

Recommended




A response recruitment strategy is developed with GC International Staffing Solutions & Diversity (ISS&D) and implemented taking into consideration current and future needs of departments.

Recruitment processes are non-discriminatory, and every staff member is suitably qualified for their position with adequate experience to fill their role and responsibility

4. Develop and implement well defined staff on-boarding and exiting procedures

• Provide international staff with country information and security brief prior to travel

• Develop and implement an organisation orientation briefing for all staff inclusive of: a context briefing (inclusive of behavioural standards with beneficiaries, staff, community) and the review and signing of key WV policies (i.e. Code of Conduct, Child Protection, Conflict of Interest, etc), and the Red Cross Code of Conduct

• Liaise with Security to ensure that all staff receive a security context and protocols briefing

• Coordinate with managers to ensure new staff receive a JD or TOR, are briefed on their role and provided with required resources (i.e. computer, lotus notes access, etc)

• Ensure/remind handover

Mandatory


(i) WV Corporate Code of Conduct

(i) Minimum Child Protection Standards

(i) EMS Function TORs


Recommended


(i) TOR form


Every staff member has a job description or terms of reference that clearly defines their role and their responsibility in the response

All staff members receive orientation, handover, and timely, regular, review of their performance by their manager

Staff are trained and understand safety and security protocols


• Coordinate with managers to ensure that seconded or deployed staff complete an end of deployment appraisal

• Plan, implement, support and monitor a performance management system which ensures that staff have performance plans inclusive of KPIs for learning

• Provide guidance and support to employees and managers in addressing unsatisfactory performance

Recommended


(i) GTRN Core HEA and Technical Competencies


(i) End of Deployment form


5. Establish and implement performance management system and processes

All staff members receive orientation, handover, and a timely, regular, review of their performance by their managers

6. Coordinate development and facilitate implementation of capacity building plans

• Coordinate identification of training needs with function leads

• Facilitate function leads and managers to plan for staff training and capacity building activities and incorporate these into a Response capacity building plan

• Ensure staff receive basic training on the Red Cross Code of Conduct and WV’s accountability principles

Recommended




All staff receive appropriate training in order to build their capacity to deliver high quality programmes, including in the principles of the Red Cross Code of Conduct (RCCC), WVI’s principles of accountability, & humanitarian professional standards

Learning & improvement by functional department are key performance indicators for the organisation, leadership and management

EMS Function: Support Services90

7. Establish and implement response P&C policies, procedures and systems (including recruitment) to ensure Response objectives can be met

• Develop, document and consistently apply required policies (i.e. secondment polices, hardship policies, R&R, per diem policy, etc) specific to the context to meet response objectives

• Ensure that appropriate waivers & exceptions to policy, processes, salary scales are provided to ensure that competent staff are deployed to deliver response objectives

• Support RO/NO salary scales and grade level alignment (using HAY evaluation) to the extent that this does not slow down the rapid recruitment and retention of competent staff to meet response objectives Where no NO exists, work with RO/GC to benchmark with other agencies to develop a salary scale

• Ensure employment policies comply with local employment law

• Establish and implement P&C administration systems that ensure response is able to meet objectives and comply with audit requirements ( with appropriate waivers/exceptions)

• Establish and implement procedures to ensure finance is provided with accurate payroll information each month

• Provide advice to response management on people issues with reference to the response context, adherence to local legislation, P&C practices and procedures

Mandatory


(i) WV Corporate Code of Conduct

(i) Minimum Child Protection Standard

Recommended


(i) WVI P&C Policy Database

(e) People in Aid: Principles 2 & 4


Emergency-response specific P&C policies and procedures for recruitment and employment are implemented and shared with staff


• Design and implement staff care function with support from the GC Staff Care team, which takes account of context specific occupational stress management issues and staff needs

• Facilitate managers to include R&R, compensation time and vacation into staff work plans

• Establish and communicate critical incident management processes ensuring that P&C staff are trained and participate in the crisis management team where appropriate

• Implement and/or support appropriate team building activities as context allows

• Establish and promote open and transparent communication channels and mechanisms for staff feedback to facilitate staff engagement

Recommended


(e) People in Aid: Principles 4 & 7

(e) Psychological First Aid: A Guide for Field Workers


8. Establish and implement staff well-being and engagement mechanisms

Mechanisms exist to monitor and provide for the mental and spiritual wellbeing of staff


• Ensure previous response P&C learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in response P&C

• Ensure P&C has quality planning sessions to meet quality criteria of their TOR objectives

• Ensure achievement of all P&C quality criteria is monitored and reported monthly

• Ensure risks limiting achievement of objectives to quality criteria are reported & rapidly addressed


Mandatory


Recommended







92

Appendix ELIAISON FUNCTION

“FACILITATE”Version 1.0, December 2012,


93EMS Function: Liaison

Function Purpose

To develop positioning and messaging with external and internal stakeholders to create an effective response environment conducive to achieving maximum beneficiary impact


Advocacy

Conduct rapid Advocacy assessment and strategic planning with key stakeholders

Establish, staff and resource Advocacy unit to meet response needs

Develop & share Advocacy messaging on key context issues & update when there are changes in context

Produce policy and decisions to highlight gaps in the response environment to achieve required national and international changes

Identify and engage partners and coalitions to support effective child focused advocacy

Plan, programme and implement capacity building for community led advocacy

Support Security function in HISS CAM analysis & interagency representation for CivMil issue resolution.

Liaison

Conduct liaison assessment and strategic planning with key stakeholders

Establish, staff and resource Liaison unit to meet response needs Establish systems to ensure World Vision’s effective coordination and collaboration with UN, NGOs, and government and civil society

Establish and implement internal communications protocols and mechanisms to support flow of information within the response

Support Information Management to meet the information needs of internal and external stakeholders

Communications

Conduct communications landscape assessment and strategic planning with key stakeholders

Establish, staff and resource Communications unit to meet response needs

Gather resources and share appropriate resources to meet various internal and external Partnership requirements

Engage local and international media to raise awareness of the impact of the emergency on children (& their families) and World Vision’s response

Develop advocacy communications resources for issue based advocacy messages aligned with identified priorities

Support Partnership and external programme information requirements with Information Management

Monitor and report reputation risk issues associated with the response to RM

Facilitate VIP visits

Produce response milestone content with supporters and partners

Meet WV minimum quality standards & support improvement, reflection, learning and innovation

6.

7.

8.

9.

10.

11.

12.

1.

2.

3.

4.

5.

13.

14.

15.

16.

17.

18.

19.

20.

21.

22.

LIA

ISO

N

94

1. Conduct Liaison assessment and strategic planning with key stakeholders

World Vision staff liaise with other appropriate organisations to share information, avoid duplication of programming and prevent conflicts of interest

3. Establish and implement systems to ensure World Vision’s effective coordination and collaboration with UN, NGOs, government and civil society

World Vision staff liaise with other appropriate organisations to share information, avoid duplication of programming and prevent conflicts of interest

2. Establish, resource and staff Liaison unit to meet response needs

EMS Function: Liaison

• Ensure contact is made with other NGOs, the UN and government officials

• Develop and share interagency contacts and update as required

• Assess internal communication needs (programmatic and non-programmatic) with key stakeholders

• Identify coordination and technical meetings and prepare schedule for WV representation

• Establish clear coordination meeting reporting procedures to feed into the information management system

• Lead engagement with local agencies to ensure sustainability of interventions, support local civil society and respect long-term development actors

• Collaborate with Programmes (Information Management & Accountability) to ensure appropriate information sharing and consultation mechanisms with local authorities and partners

• Determine Liaison organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy Liaison staff and plan for capacity development

• Ensure Liaison staff handovers are conducted

• Develop Liaison budget in coordination with Finance

Recommended

(e) Humanitarian Accountability Partnershp (HAP) Principles: Benchmark 2 & 7

Mandatory

(e) HAP Principles Benchmark 2&7

Recommended

(e) Global Humanitarian Platform (GHP) Principles of Partnership

(i) Disaster Mangement Standards Partnering Standard

(e) Do No Harm Handbook

SOGs

SOGs

SOGs

Standards & Tools

Standards & Tools

Standards & Tools

Liaison


4. Establish and implement internal communications protocols and mechanisms to support flow of information within the response

• Develop and implement info sharing protocols and mechanisms within the response (i.e. noticeboards, databases, newsletters, forums, email)

• Ensure responsibilities for implementing protocols are assigned to specific roles and are included in Job Descriptions and KPIs for individual performance plans

• Monitor and review the usage and effectiveness of mechanisms and adjust as required


5. Support information management to meet the information needs of internal and external stakeholders

Systems are in place to manage request for information in a structured and efficient way

• Coordinate with Information Management to ensure the Information Management Plan meets the needs of internal and external stakeholders

• Contribute to situation report content, updates for external stakeholders and SOs, RO and GC and ensure information and updates are shared via WV Relief or other mechanisms

• Identify primary liaison contact points for WVI partnership


96 EMS Function: Liaison

6. Conduct rapid Advocacy assessment and strategic planning with key stakeholders

Context analysis is informing strategies decision making

Evidence-based, child focused advocacy positions are adopted and key external stakeholder engaged

Operations and internal stakeholders are supported

• Conduct rapid Advocacy assessment and coordinate with DME to ensure needs assessments include relevant issues

for Advocacy

• Conduct context analysis and stakeholder / actor mapping and analysis

• Consult key internal and external stakeholders and identify key decision making bodies

• Develop Advocacy strategy and plan in line with response strategy

• Provide technical guidance and support to Operations and Programmes to address advocacy needs and where appropriate integrate advocacy into funding requirements.

• Coordinate with P&C to ensure advocacy needs are built into capacity building plan

Recommended

(i) Fragility Index (on WV Central)

(i) Making Sense of Turbulent Contexts

(i) HISS-CAM

(i) Advocacy in Emergencies Field Guide

(i) Advocacy in Emergencies 101


Advocacy

7. Establish, staff and resource Advocacy unit to meet response needs

• Determine Advocacy organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy Advocacy staff and plan for capacity development

• Ensure Advocacy staff handovers are conducted

• Develop Advocacy budget in coordination with Finance

• Plan for Advocacy transition/ integration with NO

Recommended

(i) GTRN HEA Core & Technical Competencies

(i) WVI Humanitarian Advocacy JDs



8. Develop and share Advocacy messaging on key context issues and update when there are changes in context

Evidence-based, child focused advocacy positions are adopted and key external stakeholder engaged

9. Produce research publications on policy/decision making gaps in the response environment and highlight best practices in order to achieve required national and international policy changes

Evidence-based, child focused advocacy positions are adapted and key external stakeholder engaged

Interventions works with partners and coalitions to create an enabling environment for child-focused advocacy

• Prepare Advocacy messaging and Q&As based on priority issues identified in the context analysis and review and update them where changes in context require it

• Share messaging with internal & external stakeholders in accordance with strategy & plan

• Support Communications to develop media resources that promote WV policy positions

• Develop Influence plan covering partnership and humanitarian needs (i.e. Global Capitals) and in-country engagement

• Coordinate policy and information sharing with global Advocacy Response Group (ARG)

• Draft Advocacy position papers and disseminate to targeted audiences

• Coordinate with Programmes to influence donor funding strategies

• Monitor, engage and influence the UN and it’s key agencies on the conduct of their joint work with WV

• Represent WV in an advocacy capacity at coordination meetings and interagency forums and act as the WV focal point for joint interagency statements and letters

• Represent WV interests to the host government to secure humanitarian space for operations and to progress

advocacy issues

Recommended


(i) WVI Public Policy Positions: A guide for staff 2010

Recommended

(i) Advocacy in Emergencies Guide

(i) One Voice: Public Policy Development System

(i) WVI Public Policy Positions: A guide for staff 2010

SOGs

SOGs

Standards & Tools

Standards & Tools


10. Identify and engage partners and coalitions to support effective child focused advocacy

Intervention works with partners and coalitions to create an enabling environment for child-focused advocacy

11. Plan, programme and implement capacity building for community led advocacy

Intervention works with partners and coalitions to create an enabling environment for child-focused advocacy

• Identify key partnerships and coalition opportunities through rapid assessment and consultations with stakeholders in local civil society and INGOs

• Establish campaign coalitions with civil society and humanitarian agencies which address advocacy issues which threaten programme impact (i.e. humanitarian space, protection, etc)

• Inform special interest groups (ie ARG and civil society) of advocacy priorities & messages

• Represent WV interests of the response in interagency global coalitions

• Develop a capacity building plan for beneficiaries and local organisations with Humanitarian Accountability that mobilises, equips and motivates them to undertake advocacy activities

• Coordinate with Programmes and Operations (especially Protection and Child Protection) on the design and implementation of community protection education activities

• Engage with DME on an ongoing basis to monitor impact

Recommended


Mandatory

(e) SPHERE Standard for Incorporating Protection into Humanitarian Response

Recommended

(i) Citizen Voice & Action (CVA) & Vulnerable Child Advocacy (VCA) Models

(e) Do No Harm Standard

(i) WVI Minimum Standards for Protection Mainstreaming

SOGs

SOGs

Standards & Tools

Standards & Tools


12. Support Security function in HISS CAM analysis & interagency representation for CivMil issue resolution.

• Support Security in HISS CAM analysis to assess WV’s level of engagement where required

• Work closely with the Senior CivMil Advisor on CivMil activities and policies

• Engage with relevant bodies, focal point to ensure civil military coordination

• Develop key messages on civilian protection and impact of military operations on humanitarian space/assistance with Security and Protection Team

• Work with the UN Humanitarian Country Team on Country Specific CivMil Guidelines where appropriate

Recommended

(i) HISS CAM Framework

(i) WV CIVMIL Operations Manual

(e) International Humanitarian Law

(e) International Human Rights Law

(e) Oslo Guidelines

(e) Guidelines on the Use of Military & Civil Defence Assets in Disaster Relief (MCDA Guidelines)

(e) Inter-Agency Standing Committee (IASC) Non-binding Guidelines on the Use of Military and Armed Escorts

(i) WVI Minimum Standards for Protection Mainstreaming


13. Conduct communications landscape assessment and strategic planning with key stakeholders

• Conduct communications assessment to inform strategic decisions (include reputation risk assessment)

• Participate in response rapid assessment and consult with GC, SO, RO and NO Communications to determine requirements for assessment process

• Develop communications (including media) strategy and multi-stakeholder plans

• Provide Partnership and Senior Management with strategic recommendations on public engagement and advise on opportunities, risks, issues, developments

• Establish Public Engagement Group to calibrate messaging, articulate field challenges and obstacles and act as a hub for external engagement strategy

Recommended

(i) Communications Plan template

(i) Communications Capacity assessment tool

(i) TOR for Public Engagement Group

(i) Disaster Communications Dashboard


Communications


14. Establish, resource and staff Communication unit to meet response needs

• Determine Communications organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy Communications staff and plan for capacity development in line with GTRN

• Ensure Communications staff handovers are conducted

• Develop Communications budget in coordination with Finance

• Plan for Communications transition/ integration

Recommended

(i) ‘on call’ roster team guide

(i) GTRN database on WV Central

(i) Emergency Communications Core Competencies & training curriculum

(i) TORs & EODs


15. Gather resources and share appropriate photo, video and story resources to meet various internal and external Partnership requirements

Engage with the media to raise awareness of the impact an emergency has on children and their families and World Vision’s response

Information is shared through timely & appropriate channels

• Ensure relevant response information and communications resources are shared through appropriate channels

• Produce child-focused content including case studies, stories, vlogs, blogs, video and photo content to depict humanitarian impact and World Vision’s response

• Generate dollar handles linked to response plans

• Ensure all parts of the organisation have consistent messaging to strengthen response communications messages

• Manage multiple communications resource requests and commission content and resources to support fundraising asks and donor requests

• Coordinate with Information Management to provide situation updates and other relevant content

Mandatory


Recommended

(i) Evangelical Council for Financial Accountability (ECFA) Standards on Responsible Stewardship

(i) WV Social media in emergencies guidelines

(i) WV Resource Gathering Guidelines

(i) Dollar Handles Guidance

(i) SHARE

(i) Wvrelief.net, WV Central, Merlin, Digital Asset Management



16. Engage local and international media to raise awareness of the impact of the emergency on children (and their families) and World Vision’s response


17. Develop advocacy communications resources to strengthen child focused and issue based advocacy aligned with identified priorities and public messaging

Engage with advocacy to raise awareness of priority issues

• Develop Key Facts, Q&As, Key Messages and messaging guidance for the Partnership with input from response team and sign off from management

• Develop and maintain relationships with key local journalists/media outlets and purse media coverage

• Represent World Vision in interagency media coordination efforts

• Liaise with RO/SO/NO communications teams to identify pursue, prioritise and manage international media opportunities (i.e. initially organised through media skype chat room, coordinated by RO HEA comms team)

• Pursue media coverage through press releases, escorting media to projects; and arranging online in-situ press conferences

• Designate social media contributors and manage social media content and updates (i.e. via blogs, vblogs, tweets, facebook, etc)

• Designate spokesperson/s for response and coordinate media interviews

• Support Advocacy with relevant communications content and ensure communications is represented on Advocacy conference calls

• Coordinate with Advocacy to ensure messaging, Q&As, etc reflect priority issues and effectively communicate WV’s position particularly in relation to issues impacting children

• Support Advocacy in developing resources, materials and position papers in accordance with Advocacy in Emergencies manual recommendations

Recommended

(i) Social Media Guidelines

(i) Media Relations Centre

(e) Foreign Press Guidelines

(e) Yammer

(i) Public Engagement Group TOR

Recommended


(i) Public Engagement Group

SOGs

SOGs

Standards & Tools

Standards & Tools


18. Support Partnership and external programme information requirements in coordination with Information Management

Information is shared through timely and appropriate channels

19. Monitor and manage reputation risk issues associated with the response

• Write and distribute Alerts and Declarations as required

• Coordinate response content on WV relief with Information Management

• Edit and circulate Partnership Situation Report, including information on the humanitarian impact, the WV response and the impact on ADPs.

• Conduct comms risk assessment and implement measures to address identified risks

• Develop and update messaging, Q&As and guidelines which address potential/actual risks and share with communications’ key stakeholders as required

• Monitor media and response landscape on an ongoing basis to proactively identify risk issues and keep senior management and partnership communications informed

• Ensure all communications are informed by humanitarian industry’s key policies and positions (including RCCC, Sphere, IHL, PiA and emerging research)

Recommended

(i) Q&A templates and guidelines

(i) Alert and Declaration templates

Mandatory


Recommended

(i) WVI Reputation Risk Protocols

(i) Red Cross Code of Conduct (RCCC)

(e) International Humanitarian Law (IHL)

(e) People in Aid (PiA)

SOGs

SOGs

Standards & Tools

Standards & Tools

103

20. Facilitate VIP visits including World Vision leaders and celebrities

Coordinate VIP visits in order to maximise media coverage and availability of communications materials to Partnership


21. Produce internal and external milestone content to share response programming, results and challenges to promote accountability and impact with supporters and partners

Produce child-focused communications content to depict humanitarian need and World Vision’s response in line with organisational priorities

• Develop TOR/agenda for VIP visits with key stakeholders

• Coordinate with Security and Admin to brief VIPs and ensure all visits comply with response Visitor Policy and that field teams are informed about incoming visitors

• Maximise media coverage of visit as appropriate

• Provide written and visual coverage of visit for fund-raising and media purposes

• Produce 1 month, 3-month, 6-month, 1 year and anniversary response reports or media packages as appropriate.

Recommended

(i) Visitor Policy

Recommended

(i) WVI Reputation Risk Protocols

SOGs

SOGs

Standards & Tools

Standards & Tools

EMS Function: Liaison

104



Quality is assured, monitored and provided adequate resourcese

• Ensure previous response Liaison learning from Global Learning Facilitator are reviewed

• Encourage the incorporation of best practice and innovation in liaison function

• Ensure Liaison function has planning sessions to meet quality criteria of their TOR objectives

• Ensure achievement of all Liaison function quality criteria is monitored and reported monthly

• Ensure risks limiting achievement of objectives to quality criteria are reported & rapidly addressed

• Ensure mechanisms are established to identify, document and share function lessons learned

Mandatory


Recommended





EMS Function LiaisonEMS Function Liaison

105

Appendix FSECURITY FUNCTION

“PROTECT”Version 1.0, December 2012,


106

Function Purpose

Manage risk to ensure safe and secure response delivery


1. Establish Country Risk Rating and/or response Designated Security Zone(s)

2. Prepare a Security Risk Assessment (SRA) for response

3. Implement and adhere to determined Core Security Requirements (CSR)

4. Prioritise CSR to ensure that threats identified are mitigated in line with WV security protocols, best practices and SRA recommendations.

5. Conduct strategic planning with key stakeholders (advocacy, operations, P&C and admin), as well as other non-WV entities

6. Conduct Civil-Military assessment and establish coordination system

7. Establish, resource and staff the security unit to meet response needs

PRO

TEC

T

TOR & SOGs Guidance

Achievement of TOR objectives to the quality criteria is mandatory. SOGs are optional and should be adapted to ensure that the TOR objective is achieved to quality criteria.



EMS Function: Security

107

1. Establish Country Risk Rating and/or response Designated Security Zone(s)

• Request “Response Country Profile” and any other analysis from the relevant Field Security Officer(FSO)/Regional Security Director(RSD)/ Office of Corporate Security (OCS)

• If relevant, assign Designated Security Zone (DSZ) for response

• Assign risk rating level for country/DSZ of response using the OCS Risk Assessment Tool

• Assess the response security risk using the Security Risk Assessment (SRA) worksheet

• Update the Security Risk Assessment (SRA) periodically according to risk level or following major incidents or context change

Recommended

(i) OCS Response Country Profile

(i) OCS SRM Framework

(i) OCS Risk Assessment Tool

Recommended

(i) Security Risk Assessment (SRA) Worksheet




2. Prepare a Security Risk Assessment (SRA) for the response

Identify and assess WV response exposure to specific risk

Security risks will be constantly monitored for change (different, less or more threats to any persons, local or international)

3. Implement and adhere to determined Core Security Requirements (CSR)

Use CSR document (Negligible, Low, Medium, High, or Critical) in line with Country Risk Rating (CRR) / Designated Security Zone (DSZ) risk level

Changes in Country Risk Rating (CRR) / Designated Security Zone (DSZ) to be reflected in the relevant CSR checklist

Country risk context will be identified

Response specific risk will be identified

• Implement mitigation measures for each standard and additional standards in the CSR checklist, which is best done in team of operational, management and security staff

Mandatory

(i) Core Security Requirements (CSR)

Recommended


(i) OCS Management Manual


EMS Function: Security

108 EMS Function: Security

• Implement CSR in line with threats identified from Security Risk Assessment (SRA) and CRR or DSZ

• Review and prioritise CSR checklist with Response Manager (or Operations Manager) and RSD (especially in medium and high risk contexts)

• Recommend to RM how to meet implementation objectives and mitigate risks

Mandatory

(i) Core Security Requirements (CSR)

Recommended

(i) OCS Management Manual


4. Prioritise CSR to ensure that threats identified are mitigated in line with WV security protocols, best practices and SRA recommendations

Response has a plan to become CSR compliant

5. Conduct strategic planning with key stakeholders (advocacy, operations, P&C and Admin), as well as other non-WV entities

All staff are informed of the security thresholds and mitigations set

• Review Strategic Risk management Framework (SRMF) in close consultation with Programmes and Operations during the response programme design phase.

• Establish a protocol with P&C and/or Admin to ensure staff and visitors meet security training requirements prior to deployment/arrival.

• Coordinate with P&C to plan for Core Security Requirements (CSR) related Standard Operating Procedures (SOPs) to staff: visitor briefing, proof of life profile, and possible required training and incident reporting.

• Coordinate with P&C to ensure inbound staff are using “Travel Tracker” and/or another public health source to determine medical concerns - vaccinations, recommended medications, etc.

• Coordinate with Advocacy to determine appropriate levels of CIVMIL engagement, and communicate to RM and function leads. If there is a suggested change in the status quo, use the HISS-CAM process found in the CIVMIL Operations Manual

• Network with cluster groups, the UN Dept of Safety & Security, other NGOs, and/or local security structures (police, army, state & non-state armed actors)

Recommended

(i) CIVMIL Operations Manual (includes HISS-CAM)

(i) OCS Security Manual

(i) OCS Security Templates (ie evacuation, security plans, etc)

(i) WVI Crisis Management Team (CRT) Policy & Framework

(i) Travel Tracker


109EMS Function: Security

Recommended

• Conduct HISS CAM analysis with Protection and Advocacy to assess WV’s level of engagement where required

• Work closely with the Partnership CivMil Advisor on CivMil activities and policies

• Consult with Liaison to negotiate with other UN/NGO/Govt to leverage CivMil issues that are not being resolved through direct liaison with armed actors

• Support Liaison in developing key messages on civilian protection and impact of military operations on humanitarian space/assistance with Protection Team

• Establish relations with host country militaries to negotiate access and promote International Humanitarian Law where possible and appropriate

• Work with the UN Humanitarian Country Team (HCT) on Country Specific CivMil Guidelines where appropriate

• Coordination with Operations on CivMil issues that are affecting program implementation

Recommended

(i) CIVMIL Policy

(i) CIVMIL Operations Manual (includes HISS-CAM)

(e) International Humanitarian Law

(e) International Human Rights Law

(e) Oslo Guidelines

(e) Guidelines on the Use of Military & Civil Defence Assets in Disaster Relief

(e) Inter Agency Standing Committee (IASC) Non-binding Guidelines on the use of Military and Armed Escorts

(i) Minimum Standards for Protection Mainstreaming


6. Conduct Civil-Military assessment and establish coordination system

7. Establish, resource and staff the Security unit to meet response needs

Security Risk Management is made sustainable and practical

• Determine security organisational structure and staffing plan with P&C

• Work with P&C to recruit and deploy security staff and plan for capacity development

• Ensure security staff handovers are conducted, continuity folders created

• Develop security budget in coordination with programmes and Finance

• Plan for Security transition/ integration

Recommended

(i) OCS Security Staff JDs

(i) WV Security Table Top Exercises

(i) WVI Security Analyst Scenarios


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